Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Patrick Connolly is a financial advisor with over 20 years of experience in the industry. Francis is currently registered with UBS Financial Services Inc. and is a Registered Representative (RR) with the firm. Francis holds Series 7, 31, and 63 licenses, as well as the Series 65 license for Investment Advisor Representatives. Previously, Francis worked at J.P. Morgan Securities LLC, Morgan Stanley Smith Barney, and Morgan Stanley & Co. Incorporated. Francis's specializations include retirement planning, college savings plans, investment strategies, estate planning, and insurance.
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.
See schedule d - miscellaneous
1
2
FL
09/06/2022 - Present
UBS Financial Services Inc. (WEST PALM BEACH FL)
FL
11/30/2017 - 10/01/2022
J.P. MORGAN SECURITIES LLC (PALM BEACH GARDENS FL)
FL
01/10/2011 - 12/11/2017
UBS FINANCIAL SERVICES INC. (WEST PALM BEACH FL)
NY
02/25/2010 - 06/03/2010
MADISON PROPRIETARY TRADING GROUP, LLC (NEW YORK NY)
NY
02/25/2010 - 06/03/2010
MTG, LLC (NEW YORK NY)
NY
06/01/2009 - 02/19/2010
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
GA
12/12/2006 - 04/02/2007
MORGAN STANLEY DW INC. (ATLANTA GA)
GA
07/28/1999 - 09/12/2006
MORGAN STANLEY & CO., INCORPORATED (ATLANTA GA)
IA
Issued 04/13/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/15/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 07/07/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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