Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Gerard Gale is a securities professional with over 30 years of experience in the financial services industry. Francis has held positions with various firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Allstate Financial Services, LLC, MML Investors Services, LLC, Cambridge Investment Research, Inc., and currently holds a position with Fidelity Brokerage Services LLC. Francis is registered with the Securities and Exchange Commission (SEC) and holds various licenses and certifications including Series 7, 63, and 65. Francis is located in Albuquerque, NM and is available to assist clients in New Mexico, Massachusetts, Texas and Utah.
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.
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.
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2
NM
04/20/2015 - Present
Fidelity Brokerage Services LLC (ALBUQUERQUE NM)
CO
07/23/2013 - 09/16/2013
CAMBRIDGE INVESTMENT RESEARCH, INC. (DENVER CO)
CO
08/08/2012 - 07/26/2013
MML INVESTORS SERVICES, LLC (DENVER CO)
CO
04/03/2003 - 07/11/2012
ALLSTATE FINANCIAL SERVICES, LLC (ENGLEWOOD CO)
MA
07/29/2002 - 04/01/2003
VERAVEST INVESTMENTS, INC. (WORCESTER MA)
NY
10/20/1982 - 06/25/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 08/13/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/04/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/07/1997
Series 24 - General Securities Principal Examination
BC
Issued 08/01/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/1982
Series 5 - Interest Rate Options Examination
BC
Issued 10/16/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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