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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Thomas Francis is an investment professional with over 30 years of experience in the financial services industry. John currently works with Wealthpenn.comllc, where he is registered as a Registered Representative and an Investment Adviser Representative in Florida and Texas. Prior to joining Wealthpenn.comllc, John worked with Ameriprise Financial Services, Inc. in Jacksonville, FL and Morgan Stanley in Ponte Vedra Beach, FL and New York, NY. John has a broad range of experience, including financial planning, portfolio management for individuals, businesses, and investment companies, and pension consulting. John is dedicated to providing his clients with personalized financial guidance and investment strategies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
04/08/2020 - Present
Wealthpenn.comllc (Ponte Vedra Beach FL)
FL
11/29/2012 - 08/29/2016
AMERIPRISE FINANCIAL SERVICES, INC. (JACKSONVILLE FL)
FL
10/07/2010 - 12/06/2012
WADDELL & REED, INC. (JACKSONVILLE FL)
NY
12/19/2008 - 06/22/2009
FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)
NY
04/11/1996 - 03/11/2004
UBS SECURITIES LLC (NEW YORK NY)
CT
06/18/1998 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
02/28/1994 - 03/29/1996
CS FIRST BOSTON CORPORATION (NEW YORK NY)
NY
04/01/1993 - 03/02/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/06/1992 - 03/25/1993
UBS SECURITIES INC. (NEW YORK NY)
CT
09/11/1985 - 03/07/1992
DILLON, READ & CO. INC. (STAMFORD CT)
NA
10/31/1984 - 06/04/1985
GIBRALTAR SECURITIES CO.
NA
08/25/1984 - 11/09/1984
BLINDER, ROBINSON & CO.,INC.
BOTH
Issued 11/2/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 8/29/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 5/11/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/23/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/18/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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