PF
Patrick D. Francisco
CETERA INVESTMENT ADVISERS LLC
DULUTH, MN 55802
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CRD#: 1406350
PF
Professional summary
Patrick Dean Francisco is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Duluth, Minnesota and CETERA WEALTH SERVICES, LLC located in Duluth, Minnesota.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Patrick has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
1. APPOINTED WITH VARIOUS INSURANCE COMPANIES - FIXED INSURANCE PRODUCTS: LIFE, ANNUITIES AND LTC.
2. DULUTH HERITAGE SPORTS CENTER; NON INV REL; 29TH AVE W, DULUTH, MN; NON-PROFIT; VOLUNTEER FUNDRAISER; STARTED 01/2005; 20HRS/MO- WITH 5 DURING TRADING HRS; MEET WITH PERSPECTIVE DONORS AND EXPLAIN THE PROJECT.;
3. NAME OF OTHER BUSINESS: PATRICK D. FRANCISCO AND ASSOCIATES
INVESTMENT RELATED: YES
ADDRESS: 742 EAST SUPERIOR STREET, DULUTH, MN 55802
NATURE OF BUSINESS: ASSIST CLIENTS WITH FINANCIAL DECISIONS IN LINE WITH THEIR OBJECTIVE.
START DATE: N/A
POSITION/TITLE/RELATIONSHIP: FINANCIAL PLANNING, INVESTMENT ADVISORY, INSURANCE
APX NUMBER OF HOURS PER WEEK: N/A
APX NUMBER OF HOURS DURING TRADING HOURS: N/A
BRIEF DESCRIPTION OF DUTIES: ADVISE AND COUNSEL CLIENTS REGARDING FINANCIAL DECISIONS. ASSIST IN EDUCATING STRATEGIC APPROACH TO SOLVING THEIR PROBLEMS.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Dean Francisco'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 742 E. Superior St, Duluth, MN 55802RIA
CRD#: 105644
DULUTH, MN
Current
October 22, 2010 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 742 E. Superior St, Duluth, MN 55802BD
CRD#: 13572
DULUTH, MN
Past
January 8, 2014 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
DULUTH, MN
Past
February 3, 2006 - October 28, 2010
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
DULUTH, MN
Past
April 10, 2003 - February 17, 2006
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
May 3, 1999 - April 25, 2003
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
April 27, 1993 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
July 13, 1990 - April 20, 1993
CAPITAL MANAGEMENT SECURITIES, INC.
BD
CRD#: 10579
MINNEAPOLIS, MN
Past
January 5, 1989 - July 24, 1990
AEGIS INVESTMENTS, INC.
BD
CRD#: 16033
ST LOUIS PARK, MN
Past
December 23, 1988 - January 19, 1989
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
Past
October 8, 1985 - December 23, 1988
MORISON SECURITIES, INC.
BD
CRD#: 8097
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Alaska(10/22/2010)
RR
Arizona(8/26/2015)
RR
Colorado(1/3/2011)
RR
Connecticut(6/16/2014)
RR
Florida(10/22/2010)
RR
Illinois(1/3/2024)
RR
Indiana(3/9/2012)
RR
Iowa(7/25/2012)
RR
Minnesota(10/22/2010)
IAR
Minnesota(6/29/2023)
RR
North Carolina(3/12/2012)
RR
North Dakota(12/13/2016)
RR
Texas(7/15/2021)
IAR
Texas(6/29/2023)
RR
Virginia(10/25/2019)
RR
Wisconsin(10/22/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Duluth, MN 55802TRUST BUT VERIFY
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