Francis J. Hanley

HANLEY & ASSOCIATES LLC

PITTSFIELD, MA 01201

Some features on this profile are disabled

CRD#: 1473476

Professional summary

Francis Joseph Hanley, CLU®, who also goes by Frank Hanley, is a registered financial advisor currently at HANLEY & ASSOCIATES LLC located in Pittsfield, Massachusetts.

Francis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Francis has worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank Hanley

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.

LICENSED INSURANCE AGENT OFFERING LIFE INSURANCE, DISABILITY INCOME, LONG TERM CARE, GROUP INSURANCE, 449 PITSFIELD RD #203B, LENOX MA, 10 HRS. PER WEEK DURING TRADING HOURS. DUTIES ARE SALES AND ADMINISTRATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Joseph Hanley'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®

CLU^®

Chartered Life Underwriter

Experience

Current

August 23, 2012 - Present

HANLEY & ASSOCIATES LLC

Office #1: 29 Wendell Ave. 2nd Floor, Pittsfield, MA 01201

RIA

CRD#: 164916

PITTSFIELD, MA

Past

March 3, 2008 - August 6, 2012

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

LENOX, MA

Past

October 3, 2005 - August 6, 2012

USA FINANCIAL SECURITIES LLC

CRD#: 103857

LENOX, MA

Past

December 1, 1999 - October 6, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

February 13, 1992 - November 1, 1999

BERKSHIRE EQUITY SALES, INC.

CRD#: 87

PITTSFIELD, MA

Past

May 13, 1986 - January 2, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Connecticut
(2/23/2018)

IAR

Massachusetts
(8/23/2012)

IAR

New York
(3/30/2021)

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: 2/5/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/22/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/13/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HANLEY & ASSOCIATES LLC

CRD#: 164916 / SEC#:

Connecticut

Registered Investment Advisory firm - (2/23/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (8/23/2012 Approved)

New York

Registered Investment Advisory firm - (7/7/2017 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

29 Wendell Ave. 2nd Floor, Pittsfield, MA 01201

Mailing Address

Phone number

(413) 499-5212

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	204
AUM (Assets Under Management)	$ 20,266,741

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.

Similar Advisors

Anthony Macagna

STRATEGIC ADVISERS LLC

IAR

RIDGEWOOD, NJ

Matthew Schinazi

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

Nicholas Rygiel

PROTOCOL WEALTH, LLC

IAR

Havertown, PA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Francis J. Hanley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Joseph Hanley's CRS (Customer Relationship Summary).

Certified licenses

Experience

HANLEY & ASSOCIATES LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

MML INVESTORS SERVICES, LLC

BERKSHIRE EQUITY SALES, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/5/2008

Series 63

Date: 7/22/1986

Series 6

Date: 3/13/1986

Current Firm

HANLEY & ASSOCIATES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HANLEY & ASSOCIATES LLC

TRUST BUT VERIFY

Similar Advisors