FK
Francis Kulak
MOORS & CABOT
Andover, MN 55304
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CRD#: 1494709
FK
Professional summary
Francis Kulak, who also goes by Francis Peter Kulak, Francis Kulak, Frank Kulak, is a registered financial advisor currently at MOORS & CABOT, INC. located in Andover, Minnesota.
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 13 firms and has passed the Series 66, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Francis Peter Kulak | Francis Kulak | Frank Kulak
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) FARM BUREAU LIFE AND AFFILIATES; NOT INVESTMENT RELATED; 5400 UNIVERSITY AVE, WDM IA; SELLING INSURANCE; 09/2020. 2) FBL WEALTH MANAGEMENT, LLC; INVESTMENT RELATED; 5400 UNIVERSITY AVE, WEST DES MOINES IA 50266; INVESTMENT ADVISORY AND FINANCIAL PLANNING; INVESTMENT ADVISER REPRESENTATIVE; DATE OF FBLWM RELEASE LETTER, UNTIL FURTHER NOTICE; Varied HOURS PER MONTH; Varied HOURS DEVOTED PER MONTH DURING TRADING HOURS; PROVIDE INVESTMENT ADVISORY AND FINANCIAL PLANNING SERVICES TO CUSTOMERS; FEE BASED, HOURLY RATE. 3) Farm Bureau Bank - Referral fees. Not investment related. May receive compensation for referrals made to Farm Bureau Bank. Start Date - since agreements were established. Less than 1 hr. a month during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Francis Kulak's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Francis Kulak'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
August 1, 2023 - Present
MOORS & CABOT, INC.
Office #1: 13750 Crosstown Drive Nw Suite 203, Andover, MN 55304RIA
BD
CRD#: 594
Andover, MN
Current
August 1, 2023 - Present
MOORS & CABOT, INC.
Office #1: 13750 Crosstown Drive Nw Suite 203, Andover, MN 55304RIA
BD
CRD#: 594
Andover, MN
Past
October 1, 2020 - August 7, 2023
FBL WEALTH MANAGEMENT, LLC
RIA
CRD#: 291396
West Des Moines, IA
Past
October 1, 2020 - August 7, 2023
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
Eagan, MN
Past
February 7, 2017 - September 4, 2020
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
BLAINE, MN
Past
January 20, 2017 - September 4, 2020
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
BLAINE, MN
Past
November 5, 2015 - August 16, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Minneapolis, MN
Past
October 23, 2009 - June 13, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
October 23, 2009 - June 13, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
March 5, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
BOSTON, MA
Past
November 5, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
December 10, 2001 - March 4, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
August 11, 2000 - June 27, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
June 8, 1989 - December 9, 1992
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
Past
July 13, 1988 - June 26, 1989
SALOMON BROTHERS INC.
BD
CRD#: 740
Past
May 14, 1988 - June 26, 1992
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
April 23, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Arizona(10/18/2024)
RR
Florida(8/2/2023)
RR
Iowa(8/4/2023)
IAR
Minnesota(8/1/2023)
RR
Minnesota(8/8/2023)
RR
Tennessee(8/16/2023)
RR
Wisconsin(8/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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
MOORS & CABOT, INC.
CRD#: 594Andover, MN 55304TRUST BUT VERIFY
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