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Francis Thaddeus Finn

Francis T. Finn

ALTA WEALTH ADVISORS
Woburn, MA 01801
Some features on this profile are disabled
CRD#: 2085030
Francis Thaddeus Finn

Professional summary

Francis Thaddeus Finn, CFP®, who also goes by Francis T. Finn Mr., Francis Thaddeus Finn, is a registered financial advisor currently at ALTA WEALTH ADVISORS LLC located in Woburn, Massachusetts and LPL FINANCIAL LLC located in Woburn, Massachusetts.

Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Francis has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?
Retirement Income Management
Comprehensive Financial Planni...
Social Security Planning
Insurance Planning
Investment Planning
Retirement Planning
Are you a "fiduciary"?
Yes

Aliases

Francis T. Finn Mr. | Francis Thaddeus Finn

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 Francis Thaddeus Finn's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2001

Experience

Current

July 21, 2025 - Present

ALTA WEALTH ADVISORS LLC

Office #1: 400 Tradecenter, Suite 4810, Woburn, MA 01801
RIA
CRD#: 293675
Woburn, MA
Current

January 6, 2005 - Present

LPL FINANCIAL LLC

Office #1: 400 Tradecenter, Suite 4810, Woburn, MA 01801
RIA
BD
CRD#: 6413
Woburn, MA
Past

January 6, 2006 - December 10, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
BOSTON, MA
Past

May 31, 2001 - January 19, 2005

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
WELLESLEY HILLS, MA
Past

May 3, 1999 - January 19, 2005

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

August 23, 1990 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY

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".
AW
ALTA WEALTH ADVISORS LLC
ALTA WEALTH ADVISORS LLC

CRD#: 293675 / SEC#: 801-112848

RIA
Registered Investment Advisory firm - (4/17/2018 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
California
(1/6/2005)
RR
Connecticut
(1/6/2005)
RR
Florida
(1/6/2005)
RR
Massachusetts
(1/6/2005)
IAR
Massachusetts
(7/21/2025)
RR
Michigan
(3/1/2022)
RR
New Hampshire
(1/6/2005)
RR
New Jersey
(1/10/2024)
RR
New York
(2/1/2012)
RR
North Carolina
(5/25/2011)
RR
Rhode Island
(9/23/2011)
RR
Virginia
(7/3/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/23/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/21/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/21/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/2/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AW
ALTA WEALTH ADVISORS LLC
ALTA WEALTH ADVISORS LLC

CRD#: 293675 / SEC#: 801-112848

RIA
Registered Investment Advisory firm - (4/17/2018 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
400 Tradecenter, Suite 4810, Woburn, MA 01801
Mailing Address
Phone number
(781) 404-6909
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ALTA WEALTH ADVISORS LLC WRAP FEE PROGRAM (3/3/2026)
ADV PART 2A-ALTA WEALTH ADVISORS LLC (3/3/2026)

Regulatory assets under management

Total Number of Accounts1,665
AUM (Assets Under Management)$ 664,634,808

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

ALTA WEALTH ADVISORS LLC

CRD#: 293675Woburn, MA 01801

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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