Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis J. St. vincent is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. and is licensed to provide investment advisory services in Connecticut, Rhode Island and Texas. Francis J. St. vincent has over 10 years of experience in the securities industry. Francis J. St. vincent has a broad range of experience in the securities industry, including working with corporations, individuals, high-net-worth individuals, pension and profit-sharing plans, charitable organizations, and insurance companies. Francis J. St. vincent has passed the Series 6, 7, 9, 10, 63 and 66 exams. Before joining Merrill Lynch, Pierce, Fenner & Smith Inc., Francis J. St. vincent was a registered representative with Signator Investors, Inc..
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
RI
09/27/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LINCOLN RI)
RI
05/18/2012 - 05/13/2013
SIGNATOR INVESTORS, INC. (WARWICK RI)
BOTH
Issued 09/26/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/09/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/27/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2014
Series 7 - General Securities Representative Examination
BC
Issued 05/17/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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