Francis G. Gale
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Francis Gerard Gale, who also goes by Francis Gerad Gale, Francis Gerard Gale, Frank G Gale, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1982. Francis had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2015 - April 6, 2017
STRATEGIC ADVISERS LLC
April 20, 2015 - August 28, 2025
FIDELITY BROKERAGE SERVICES LLC
July 23, 2013 - September 16, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 17, 2012 - July 26, 2013
MML INVESTORS SERVICES, LLC
August 8, 2012 - July 26, 2013
MML INVESTORS SERVICES, LLC
September 1, 2009 - July 11, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
April 3, 2003 - July 11, 2012
ALLSTATE FINANCIAL SERVICES, LLC
July 29, 2002 - April 1, 2003
VERAVEST INVESTMENTS, INC.
October 20, 1982 - June 25, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/15/1982
Interest Rate Options ExaminationSeries 8
Date: 8/1/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
