Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis William Ross is a financial advisor at LPL Financial LLC. Francis has been in the industry since 2000 and has a wide range of experience in the financial services industry. Francis is licensed to provide advisory services in Colorado, Florida, New Mexico, North Carolina, Texas, and Virginia. Francis has passed the Series 6, 7, 63, 65, and SIE exams. Francis is also a Registered Representative of LPL Financial.
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.
Consulting and other non-discretionary advisory services
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.
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TX
11/01/2023 - Present
LPL Financial LLC (LAKE JACKSON TX)
PA
03/15/2021 - 11/03/2023
HARTFORD FUNDS DISTRIBUTORS, LLC (WAYNE PA)
NY
06/13/2019 - 03/09/2021
NEUBERGER BERMAN BD LLC (NEW YORK NY)
CO
11/13/2015 - 05/31/2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CENTENNIAL CO)
CO
03/06/2014 - 09/15/2015
CURIAN CLEARING, LLC (DENVER CO)
NY
01/03/2011 - 01/30/2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (NEW YORK NY)
OH
02/17/2010 - 01/03/2011
JPMORGAN DISTRIBUTION SERVICES, INC. (COLUMBUS OH)
TX
12/20/2005 - 06/03/2009
ALLIANCEBERNSTEIN INVESTMENTS, INC. (SAN ANTONIO TX)
MO
08/04/2004 - 12/16/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
CA
05/01/2002 - 07/11/2003
DUERR FINANCIAL CORPORATION (CHINO HILLS CA)
TX
09/05/2000 - 05/01/2002
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
NY
03/28/2000 - 09/11/2000
NEW ENGLAND SECURITIES (NEW YORK NY)
MA
09/23/1998 - 03/21/2000
SIGNATOR INVESTORS, INC. (BOSTON MA)
IA
Issued 09/04/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/25/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/2006
Series 7 - General Securities Representative Examination
BC
Issued 09/21/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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