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Michele Ann Francis

Purshe Kaplan Sterling Investments

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About Michele Ann Francis

Michele Francis is a financial professional with over 23 years of experience in the financial services industry. Michele is currently registered with Purshe Kaplan Sterling Investments and is licensed in Delaware, Florida, New Jersey, and South Carolina. Michele has previously held positions with International Assets Advisory, LLC, First Allied Securities, Inc., Wells Fargo Advisors, LLC, and First Union Brokerage Services, Inc.. Michele has successfully completed the Series 6, Series 63, Series 99TO, and SIE exams. Michele is committed to providing her clients with personalized financial advice and guidance.

Firm Information

Michele Francis is currently registered with Purshe Kaplan Sterling Investments. Purshe Kaplan Sterling Investments is a Corporation formed on December 16, 1993 and is approved to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been registered with the SEC and has 10 regulatory event disclosures and 2 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

181

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Michele Francis’s Registration & Firm History

NJ

10/01/2019 - Present

Purshe Kaplan Sterling Investments (Toms River NJ)

NJ

10/25/2016 - 11/29/2018

INTERNATIONAL ASSETS ADVISORY, LLC (SPRING LAKE NJ)

NJ

01/07/2014 - 03/11/2016

FIRST ALLIED SECURITIES, INC. (TOMS RIVER NJ)

NJ

10/01/2000 - 12/07/2012

WELLS FARGO ADVISORS, LLC (TOMS RIVER NJ)

NC

04/18/1997 - 10/01/2000

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 02/20/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/16/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michele Ann Francis.
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