FS
Francis J. Sams
ALIGHT FINANCIAL ADVISORS
Sarasota, FL
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CRD#: 1485847
FS
Professional summary
Francis John Bradley Sams, CFP®, who also goes by Brad Sams, is a registered financial advisor currently at ALIGHT FINANCIAL ADVISORS, LLC located in Sarasota, Florida and ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.
Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Francis has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brad Sams
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.
Name of Organization/Company Jon Sams Is the business investment related? No Nature of the Business Photographer Address of the Business 11136 Chandler Blvd North Hollywood, CA 91601 Position/Title Consultant The start date of your relationship 10/01/15 Description of Duties Bookkeeper, consultant for my son's photography business. Anticipated annual compensation from this activity 0 Do you have a financial interest in the organization/company? No Approximate # of hours/week you devote to this outside activity during non-business hours 1 - 5 Approximate # of hours/week you devote to this outside activity during business hours 0 Name of Organization/Company Sole Proprietorship (not branded) Is the business investment related? Yes No Nature of the Business Buy/resell items, primarily clothing, on eBay Address of the Business 3780 Torrey Pines Way, Sarasota, FL 34238 Position/Title Proprietor The start date of your relationship 10/15/22 Description of Duties Buy and resell items on eBay. Anticipated annual compensation from this activity 5,000 Do you have a financial interest in the organization/company? If yes, please explain. Yes, full owner Approximate # of hours/week you devote to this outside activity during non-business hours 6 - 10 Approximate # of hours/week you devote to this outside activity during business hours 0 To your knowledge, is this organization/company a client of the Firm? Yes No If "Yes", detailed descriptions of the relationship between the two entities To your knowledge, will your affiliation with this activity raise or be perceived as a potential conflict of interest? Yes No If "Yes", please explain The Firm expects employees to devote their business day to the work of the Firm, and employees are expected to avoid any outside activity, employment, position, or association that might interfere or appear to interfere with the independent exercise of the employee's judgment regarding the best interests of the Firm and its clients.
CRS (Client Relationship Summary) - RIA
Click below to view Francis John Bradley Sams'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®
Experience
Current
November 19, 2019 - Present
ALIGHT FINANCIAL ADVISORS, LLC
RIA
CRD#: 158744
Sarasota, FL
Current
November 19, 2019 - Present
ALIGHT FINANCIAL SOLUTIONS, LLC
Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269BD
CRD#: 36509
CHARLOTTE, NC
Past
June 26, 1995 - April 22, 2019
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
ST. PETERSBURG, FL
Past
January 22, 1994 - April 11, 1995
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
April 7, 1993 - January 4, 1994
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
May 21, 1992 - April 6, 1993
FINANCIAL HORIZONS SECURITIES CORPORATION
BD
CRD#: 20221
Past
May 14, 1992 - April 2, 1993
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
April 18, 1986 - May 13, 1992
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
PALM BEACH GARDENS, FL
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".
AF
ALIGHT FINANCIAL ADVISORS, LLC
ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC
CRD#: 158744 / SEC#: 801-72679
RIA
Registered Investment Advisory firm - (9/13/2011 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
Florida(11/9/2022)
RR
North Carolina(11/19/2019)
IAR
North Carolina(11/19/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALIGHT FINANCIAL ADVISORS, LLC
ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC
CRD#: 158744 / SEC#: 801-72679
RIA
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Contact information
Main Address
9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269
Mailing Address
Phone number
(866) 560-7256
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 197,089 |
| AUM (Assets Under Management) | $ 30,882,928,556 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
