Clifford H. Dunteman

FRANCIS LLC

Brookfield, WI 53045

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CRD#: 2077855

Professional summary

Clifford Henry Dunteman JR, CFA is a registered financial advisor currently at FRANCIS LLC located in Brookfield, Wisconsin.

Clifford is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Clifford has worked at 4 firms and has passed the Series 65, Series 63 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 Clifford Henry Dunteman JR'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®

CFA

Chartered Financial Analyst

Experience

Current

November 25, 2015 - Present

FRANCIS LLC

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

RIA

CRD#: 130687

Brookfield, WI

Past

October 20, 2000 - April 15, 2008

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

March 11, 1996 - July 5, 2000

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

June 11, 1993 - September 19, 1994

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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: 5/7/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/17/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/10/1993

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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Clifford H. Dunteman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford Henry Dunteman JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANCIS LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

DWS DISTRIBUTORS, INC.

EDWARD JONES

Primary Firm SEC Registration

FRANCIS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/2008

Series 63

Date: 6/17/1993

Series 7

Date: 6/10/1993

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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