Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Dewey Mundwiller is an Investment Advisor Representative at Wells Fargo Advisors Financial Network, LLC, with over 50 years in the financial industry. Francis holds various licenses and registrations including Series 7TO, Series 31, and Series 65. Francis also holds a Series 4, Series 12, and Series 40, for Registered Options Principal, NYSE Branch Manager, and Registered Principal, respectively. Francis has been with Wells Fargo Advisors Financial Network, LLC since 2009 and has also previously worked at Morgan Stanley DW Inc., CIBC Oppenheimer Corp., and Stifel, Nicolaus & Company, Incorporated. Francis provides financial planning and portfolio management services to individuals, businesses, charitable organizations, and pension and profit-sharing plans. Francis is also a 100% owner of Smith-Mundwiller Securities LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
09/02/2003 - Present
Wells Fargo Advisors Financial Network, LLC (SAINT PETERS MO)
NY
01/09/1998 - 09/12/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
05/24/1994 - 02/06/1998
CIBC OPPENHEIMER CORP. (NEW YORK NY)
MO
11/03/1969 - 06/03/1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)
IA
Issued 05/31/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/08/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/18/1984
Series 4 - Registered Options Principal Examination
BC
Issued 02/10/1979
Series 12 - NYSE Branch Manager Examination
BC
Issued 06/26/1976
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 06/01/1977
PC - AMEX Put and Call Exam
BC
Issued 07/13/1967
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
Not sure Francis Mundwiller is the right advisor for you? Invested Better is here to help.
