Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Herbert Trombly is a registered representative with Morgan Stanley. Francis has been in the securities industry since September 6, 1967. Francis is currently registered with FINRA and the state of New York as a Registered Representative. Francis has worked for a number of firms in the past, including Morgan Stanley & Co. Incorporated, Citigroup Global Markets Inc., Lehman Brothers Inc., SG Cowen Securities Corporation, Cowen & Co., and First Albany Corporation. Francis has also served on the Finance Committee for The Albany Academies since 2017. Francis holds Series 1, 7TO, PC, SIE, and 40 licenses. Francis is registered with the state of Texas as an Investment Advisor Representative. Francis specializes in providing financial planning, portfolio management, and asset allocation advice. Francis provides services to individuals, businesses, corporations, trusts, investment companies, pension plans, charitable organizations, state or municipal government entities, insurance companies, and high-net-worth individuals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
05/21/2020 - Present
Morgan Stanley (Albany NY)
NY
05/30/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ALBANY NY)
NY
08/30/2002 - 06/13/2008
CITIGROUP GLOBAL MARKETS INC. (ALBANY NY)
NY
11/14/2000 - 09/09/2002
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
07/01/1998 - 10/27/2000
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
01/20/1988 - 07/01/1998
COWEN & CO. (NEW YORK NY)
NA
02/02/1983 - 01/28/1988
COWEN SECURITIES INC.
NA
10/04/1982 - 01/28/1983
COWEN & CO.
NA
09/04/1973 - 08/26/1982
FIRST ALBANY CORPORATION
NA
07/10/1967 - 10/17/1973
HORNBLOWER AND WEEKS HEMPHILL-NOYES
BC
Issued 11/15/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/11/1978
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 03/17/1988
PC - AMEX Put and Call Exam
BC
Issued 07/07/1967
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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