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Francis C. Dewolf

Some features on this profile are disabled
CRD#: 2134361
FD

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Francis Colt Dewolf III was a registered financial professional .

Francis is a previously registered financial professional and started their career in finance in 1991. Francis had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 18, 2020 - December 31, 2020

GEORGETOWN WEALTH MANAGEMENT LLC

RIA
CRD#: 307371
ST. PETERSBURG, FL
Past

September 15, 2011 - January 20, 2012

OCEAN CROSS CAPITAL MARKETS LLC

BD
CRD#: 156256
WESTPORT, CT
Past

August 13, 2009 - September 1, 2011

SOUTHRIDGE INVESTMENT GROUP LLC

BD
CRD#: 45531
RIDGEFIELD, CT
Past

March 11, 2009 - July 27, 2009

TAYLOR FINANCIAL SERVICES, LLC

BD
CRD#: 111901
WASHINGTON, DC
Past

June 3, 2008 - February 27, 2009

GENESIS GLOBAL TRADING, INC

BD
CRD#: 136962
NEW YORK, NY
Past

January 6, 2005 - June 2, 2008

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
WASHINGTON, DC
Past

September 3, 2004 - June 2, 2008

OPPENHEIMER & CO. INC.

BD
CRD#: 249
WASHINGTON, DC
Past

July 1, 2003 - September 20, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WASHINGTON, DC
Past

July 1, 2003 - September 20, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 10, 1997 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
WASHINGTON, DC
Past

March 5, 1996 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

February 7, 1994 - February 28, 1996

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

May 21, 1991 - February 18, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/29/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/3/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/1991
General Securities Representative Examination

Current Firm

GW
GEORGETOWN WEALTH MANAGEMENT LLC
GEORGETOWN WEALTH MANAGEMENT LLC

CRD#: 307371 / SEC#:

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Contact information

Main Address
St. Petersburg, FL
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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

GEORGETOWN WEALTH MANAGEMENT LLC

CRD#: 307371

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