Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Fazio is a financial advisor with over 20 years of experience in the industry. Francis currently works for The Ayco Company, LP and is registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Francis specializes in providing financial planning, investment management, and other financial services to individuals, families, and businesses. Francis is also a Certified Financial Planner and has a strong track record of success in helping clients achieve their financial goals. Francis has previously worked for Mercer Allied Company, L.P., Fidelity Brokerage Services LLC, Goldman, Sachs & Co., and Salomon Smith Barney 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.
Comprehensive financial plans to help you achieve your personal and business goals.
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.
A percentage of the total value of assets under management is charged.
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2
NY
04/22/2021 - Present
THE Ayco Company, LP (COHOES NY)
NY
07/25/2018 - 01/04/2021
MERCER ALLIED COMPANY, L.P. (COHOES NY)
NY
10/08/2015 - 04/14/2016
FIDELITY BROKERAGE SERVICES LLC (ALBANY NY)
NY
03/29/2007 - 07/07/2014
MERCER ALLIED COMPANY, L.P. (LATHAM NY)
NY
12/05/2005 - 03/30/2007
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
06/03/2002 - 12/12/2005
MERCER ALLIED COMPANY, L.P. (COHOES NY)
NY
04/10/2001 - 05/09/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 08/01/2018
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 07/19/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/09/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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