Michael J. Francis

FRANCIS LLC

Brookfield, WI 53045

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CRD#: 1310170

Professional summary

Michael John Francis is a registered financial advisor currently at FRANCIS LLC located in Brookfield, Wisconsin.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Michael John Francis'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®

None

Experience

Current

November 25, 2015 - Present

FRANCIS LLC

Office #1: 19435 W. Capitol Drive, Brookfield, WI 53045

RIA

CRD#: 130687

Brookfield, WI

Past

July 31, 1993 - March 26, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 21, 1984 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

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".

FRANCIS LLC

FRANCIS INVESTMENT COUNSEL LLC | FRANCIS LLC | FRANCIS INVESTMENT COUNSEL, LLC

CRD#: 130687 / SEC#: 801-62841

RIA

Registered Investment Advisory firm - (3/12/2004 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.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(11/25/2015)

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: 5/7/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/28/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 12/19/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/17/1984

General Securities Representative Examination

Current Firm

FRANCIS LLC

FRANCIS INVESTMENT COUNSEL LLC | FRANCIS LLC | FRANCIS INVESTMENT COUNSEL, LLC

CRD#: 130687 / SEC#: 801-62841

RIA

Registered Investment Advisory firm - (3/12/2004 Approved)

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Contact information

Main Address

19435 W. Capitol Drive, Brookfield, WI 53045

Mailing Address

Phone number

(866) 232-6457

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FRANCIS LLC ADV PART 2A&B (3/31/2025)

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.

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Michael J. Francis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Francis's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANCIS LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

FRANCIS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/1992

Series 63

Date: 11/28/1984

Series 3

Date: 12/19/1984

Series 7

Date: 11/17/1984

Current Firm

FRANCIS LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

FRANCIS LLC

TRUST BUT VERIFY

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