Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis D'alia is a financial advisor with over 9 years of experience in the industry. Francis is registered with Principal Securities, Inc. in Texas as an Investment Advisor Representative and has been active in the financial industry since August 2018. Francis holds the Series 7, Series 63, Series 65 and Series 66 securities licenses. Prior to joining Principal Securities, Inc. Francis worked at DFA Securities LLC in Austin, TX, Vanguard Marketing Corporation in Malvern, PA, Merrill Lynch, Pierce, Fenner & Smith Incorporated in Florham Park, NJ and Wells Fargo Advisors, LLC in Rockaway, NJ. Francis also holds a life insurance license. Francis works with a variety of clients, including individuals, corporations, and charitable organizations. Francis specializes in financial planning, investment management, and pension consulting.
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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
TX
06/11/2024 - Present
Principal Securities, Inc. (AUSTIN TX)
TX
08/25/2021 - 02/22/2024
DFA SECURITIES LLC (AUSTIN TX)
PA
01/01/2020 - 08/16/2021
VANGUARD MARKETING CORPORATION (MALVERN PA)
NJ
01/05/2016 - 07/05/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FLORHAM PARK NJ)
NJ
12/22/2014 - 02/18/2015
WELLS FARGO ADVISORS, LLC (ROCKAWAY NJ)
IA
Issued 09/29/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/07/2020
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 11/21/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/27/2019
Series 7TO - General Securities Representative Examination
BC
Issued 07/05/2017
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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