Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Dwyer is a financial advisor with over 30 years of experience in the industry. Francis is currently registered with Osaic Institutions, Inc. in New York and has previously worked for several other firms, including CETERA INVESTMENT SERVICES LLC, KEY INVESTMENT SERVICES LLC, and MOORS & CABOT, INC.. Francis holds several licenses, including Series 7, Series 24, Series 25, Series 55, Series 63 and Series 65. Francis specializes in providing financial planning, pension consulting, educational seminars, and portfolio management services for individuals and charitable organizations.
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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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
CT
08/12/2021 - Present
Osaic Institutions, Inc. (MERIDEN CT)
NY
09/17/2015 - 10/28/2016
NEW HORIZONS ASSET MANAGEMENT GROUP, LLC (NEWBURGH NY)
NY
05/07/2012 - 09/03/2015
CETERA INVESTMENT SERVICES LLC (MONTGOMERY NY)
NY
05/24/2006 - 05/02/2012
KEY INVESTMENT SERVICES LLC (CHESTER NY)
MA
06/24/2004 - 05/22/2006
MOORS & CABOT, INC. (BOSTON MA)
OH
05/14/1999 - 06/16/2004
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
OH
12/02/1997 - 05/14/1999
KEY INVESTMENTS INC. (CLEVELAND OH)
NY
11/15/1996 - 12/11/1997
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
OH
12/07/1993 - 04/26/1995
KEY INVESTMENTS INC. (CLEVELAND OH)
NY
06/03/1992 - 12/14/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IL
04/20/1990 - 10/09/1990
LIT AMERICA, INC. (CHICAGO IL)
NA
05/20/1986 - 01/30/1989
INVESTACORP, INC.
IA
Issued 11/24/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/09/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/02/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/10/1999
Series 25 - NYSE Trading Assistant Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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