Francis X. Henry

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CRD#: 1157132

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 Xavier Henry III, who also goes by Francis X Henry III, Pat Henry, was a registered financial professional .

Francis is a previously registered financial professional and started their career in finance in 1996. Francis had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Francis X Henry Iii | Pat Henry

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 9, 2015 - February 3, 2015

VICUS CAPITAL, INC.

RIA

CRD#: 116021

STATE COLLEGE, PA

Past

May 17, 2004 - June 27, 2014

BRINKER CAPITAL INC

RIA

CRD#: 111743

BERWYN, PA

Past

May 17, 2004 - June 27, 2014

BRINKER CAPITAL SECURITIES, LLC

CRD#: 38123

BERWYN, PA

Past

October 15, 2002 - March 1, 2004

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

HORSHAM, PA

Past

February 8, 1999 - March 1, 2004

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

October 5, 1998 - February 17, 1999

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

August 3, 1998 - October 19, 1998

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

March 12, 1998 - August 3, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

March 3, 1998 - March 18, 1998

ANDREW GARRETT INC.

CRD#: 29931

NEW YORK, NY

Past

August 13, 1996 - November 10, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/13/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/12/1996

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VICUS CAPITAL ADV PART 2A (3/24/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Francis X. Henry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BRINKER CAPITAL INC

BRINKER CAPITAL SECURITIES, LLC

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

FFP SECURITIES, INC.

IFMG SECURITIES, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

ANDREW GARRETT INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

VICUS CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/1996

Series 63

Date: 8/26/1996

Series 7

Date: 8/12/1996

Current Firm

VICUS CAPITAL, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VICUS CAPITAL, INC.

TRUST BUT VERIFY

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