FL
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
37 advisors
Number of Clients
1,720 clients
Average Client Portfolio
$908K average
Assets Under Management
$1.6B
Fee Structure
Investment management fees vary up to 2.00% annually, depending on the size and complexity of the client relationship. Fees are negotiable. Financial planning and consulting services are offered on an hourly or fixed fee basis, which may be negotiable. Retirement plan advisory services are charged an annual asset-based fee of up to 1.00%.
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net Worth
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Advisor Information
Office location
Wilton, CT
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Francis works as a Wealth Advisor for Seacrest Wealth Management, managing client portfolios. This is a full-time commitment.
Employment History
Current Registrations
Purshe Kaplan Sterling Investments
October 2019 - Present · 6 yrs 3 mos
Purshe Kaplan Sterling InvestmentsBroker
October 2019 - Present · 6 yrs 3 mos
Seacrest Wealth Management, LLC
September 2019 - Present · 6 yrs 4 mos
Previous Registrations
Raymond James Financial Services Advisors, INC
July 2012 - September 2019 · 7 yrs 2 mos
Raymond James Financial Services, INC.Broker
July 2012 - September 2019 · 7 yrs 2 mos
Wells Fargo Advisors, LLC
January 2008 - July 2012 · 4 yrs 6 mos
Wells Fargo Advisors, LLC Broker
January 2008 - July 2012 · 4 yrs 6 mos
A. G. Edwards & Sons, INC.
August 1999 - January 2008 · 8 yrs 5 mos
A. G. Edwards & Sons, INC.Broker
October 1990 - January 2008 · 17 yrs 3 mos
Advest, INC.Broker
November 1982 - November 1990 · 8 yrs
Carreau, Smith, INC.Broker
March 1982 - November 1982 · 8 mos
State Registrations13 states
CACOCTNCNHNYOHPASCTNTXVAVT
AdvisorBrokerBoth
Exams
No exam information available for this advisor.