Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Abella is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. based in NAPA, CA. Francis is registered with the state of California and Texas, and is a Series 66, Series 63, Series 53, Series 8, Series 7, and SIE licensed individual. Francis has been working in the financial industry since December 4, 2000, and has a proven track record of success in providing a range of financial services to a variety of clients, including individuals, corporations, charitable organizations, insurance companies, and pension and profit-sharing plans. Francis is also experienced in providing portfolio management for businesses and individuals, and has expertise in performance measurement reports, allocation modeling, investment policy statements (IPS), research reports and services, and the selection of other advisors.
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
CA
04/01/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NAPA CA)
CA
05/06/2014 - 04/03/2018
WELLS FARGO CLEARING SERVICES, LLC (SAN FRANCISCO CA)
CA
03/05/2007 - 01/03/2008
BANCWEST INVESTMENT SERVICES, INC. (WALNUT CREEK CA)
CA
09/26/2002 - 04/26/2004
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
TX
12/19/2000 - 08/01/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
11/09/1999 - 11/03/2000
MELLON FINANCIAL MARKETS, LLC (NEW YORK NY)
NJ
10/15/1996 - 11/08/1999
J. B. HANAUER & CO. (PARSIPPANY NJ)
NJ
09/19/1991 - 10/16/1996
HALPERT AND COMPANY, INC. (MILLBURN NJ)
BOTH
Issued 05/22/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/20/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/31/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/31/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2014
Series 7 - General Securities 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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