Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Joseph Duff is a financial advisor with Stifel, Nicolaus & Company, Inc., located in Kansas City, Missouri. Francis is also a registered investment advisor in both Missouri and Texas. Francis joined Stifel, Nicolaus & Company, Inc. in October 2022, bringing over 20 years of experience in the financial services industry. Before joining Stifel, Nicolaus & Company, Inc., Francis was employed by Robert W. Baird & Co. Incorporated and George K. Baum & Company. Francis holds the Series 7, Series 63, and Series 66 securities licenses, as well as the SIE exam. Francis specializes in providing financial advice to high-net-worth individuals, corporations, and other businesses. Francis provides a range of financial services, including financial planning, portfolio 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.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
10/20/2022 - Present
Stifel, Nicolaus & Company, Inc. (KANSAS CITY MO)
MO
11/15/2000 - 10/11/2022
ROBERT W. BAIRD & CO. INCORPORATED (KANSAS CITY MO)
MO
05/31/1994 - 11/15/2000
GEORGE K. BAUM & COMPANY (KANSAS CITY MO)
MO
08/19/1988 - 05/31/1994
GEORGE K. BAUM & COMPANY (KANSAS CITY MO)
NA
02/10/1981 - 08/30/1988
STERN BROTHERS & CO.
NA
10/23/1980 - 03/09/1981
NEWHARD, COOK & CO. INCORPORATED
BOTH
Issued 10/08/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/31/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/1980
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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