Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Xavier Amsler is a financial advisor with over 25 years of experience in the industry. He has a comprehensive background in investment management and financial planning. Francis is currently registered as a Registered Representative with Rockefeller Financial LLC. Francis has previously worked with UBS Financial Services Inc, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Lehman Brothers Inc., and Salomon Brothers Inc. His experience includes working with individuals, high-net-worth individuals, families, businesses, and charitable organizations. Francis is a Certified Financial Planner and a Chartered Financial Analyst.
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.
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
TX
09/13/2020 - Present
Rockefeller Financial LLC (Houston TX)
TX
11/07/2008 - 09/15/2020
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
TX
07/09/1995 - 11/14/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
NY
04/17/1995 - 06/20/1995
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
09/27/1994 - 05/03/1995
SALOMON BROTHERS INC. (NEW YORK NY)
IA
Issued 06/09/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/10/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/10/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/1994
Series 3 - National Commodity Futures Examination
BC
Issued 09/26/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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