FF
Francis X. Fauble
VICUS CAPITAL
Lewisburg, PA
Some features on this profile are disabled
CRD#: 1150643
FF
Professional summary
Francis Xavier Fauble II, who also goes by Francis X Fauble II, Frank Fauble Ii, is a registered financial advisor currently at VICUS CAPITAL, INC. located in Lewisburg, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Lewisburg, Pennsylvania.
Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Francis has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 2 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Francis X Fauble Ii | Frank Fauble Ii
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. INDEPENDENT INSURANCE AGENT, DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, FOR 20HRS/WK & 5HRS EVENING & WKENDS, SINCE 4/1971; 2. VICUS CAPITAL, INC., INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, OUTSIDE RIA - ADVISORY BUSINESS, START 2003, 10HRS/WK (TRADING HOURS), INVESTMENT ADVISOR REPRESENTATIVE; 3. NAME OF OTHER BUSINESS: FRANK FAUBLE, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: DBA FOR SECURITIES, INSURANCE, & ADVISORY BUSINESS, START DATE: 4/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: 100% OWNER, BRIEF DESCRIPTION OF DUTIES: SECURITIES INSURANCE & ADVISORY BUSINESS; 4. NAME OF OTHER BUSINESS: FRANK FAUBLE, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: PASS THROUGH LLC; START DATE: 01/01/2017; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: PAYROLL THROUGH LLC. 5. NAME OF OTHER BUSINESS: VERTICE FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 06/2020; POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 6. NAME OF OTHER BUSINESS: FAUBLE FINANCIAL , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10.2024 , POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Francis Xavier Fauble II's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 31, 2005 - Present
VICUS CAPITAL, INC.
RIA
CRD#: 116021
Lewisburg, PA
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Lewisburg, PA
Past
October 17, 2002 - February 1, 2005
WALNUT STREET ADVISERS INC
RIA
CRD#: 109903
STATE COLLEGE, PA
Past
February 4, 1998 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
LEWISBURG, PA
Past
October 15, 1993 - March 5, 1998
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
May 14, 1991 - February 10, 1998
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
March 21, 1989 - April 24, 1991
F & G SECURITIES, INC.
BD
CRD#: 16364
Past
August 6, 1984 - December 13, 1990
AETNA FINANCIAL SERVICES, INC.
BD
CRD#: 13255
HARTFORD, CT
Past
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VC
VICUS CAPITAL, INC.
PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK
CRD#: 116021 / SEC#: 801-60628
RIA
Registered Investment Advisory firm - (10/5/2001 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(1/6/2025)
RR
Georgia(12/5/2024)
RR
Maine(9/25/2024)
RR
Nevada(8/29/2024)
RR
New Jersey(10/29/2024)
RR
New Mexico(9/28/2021)
RR
New York(9/25/2024)
IAR
Pennsylvania(1/31/2005)
RR
Pennsylvania(9/3/2013)
RR
Virginia(9/25/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 11/22/1971
Non-Member General Securities ExaminationSRO Registrations
RR
FINRA
Current Firm
VC
VICUS CAPITAL, INC.
PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK
CRD#: 116021 / SEC#: 801-60628
RIA
Registered Investment Advisory firm - (10/5/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
476 Rolling Ridge Drive Suite 315, State College, PA 16801
Mailing Address
Phone number
(855) 558-4287
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,058 |
| AUM (Assets Under Management) | $ 2,574,468,218 |
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.
