Frances J. Parent

ADIRONDACK FINANCIAL SERVICES CORP

UTICA, NY 13501

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CRD#: 2191132

Professional summary

Frances J Parent, CFP® is a registered financial advisor currently at ADIRONDACK FINANCIAL SERVICES CORP located in Utica, New York and HAZARD & SIEGEL, INC. located in Utica, New York.

Frances is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Frances has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 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.

1)BLUE LINE COFFEE HOUSE INC INLET NY AND OLD FORGE NY OWNER 2020 - PRESENT 2)GREENLEAF CONTRACTING,INC GLENS FALLS,NY VP CONSTRUCTION CO 1HR PER MONTH BOOKKEEPING 3)ADIRONDACK FINANCIAL SERVICES GLENS FALLS NY, ASSOCIATED WITH MAIN OFFICE IN UTICA NY 10-20 HRS PER MONTH CONSULTING ACCOUNTING & FINANCIAL SERVICES 4) SOUTH SHORE RD LLC STORAGE BUILDING - OWNER 2022 - PRESENT 5) 218 RTE 28 INLET NY RENTAL APARTMENTS - OWNER 1990 - PRESENT 6) 11 HUGHES CT QUEENSBURY NY RENTAL PROPERTY - OWNER 1997 - PRESENT 7) 157 RTE 28 INLET NY - OWNER, COMMERCIAL PROPERTY, 1993 - PRESENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frances J Parent'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

Experience

Current

December 5, 2022 - Present

ADIRONDACK FINANCIAL SERVICES CORP

Office #1: 185 Genesee Street Suite 210, Utica, NY 13501

RIA

CRD#: 126155

UTICA, NY

Current

February 27, 2016 - Present

HAZARD & SIEGEL, INC.

Office #1: 185 Genesee St Suite 210, Utica, NY 13501

CRD#: 2048

UTICA, NY

Past

May 2, 2014 - December 31, 2015

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

GLEN FALLS, NY

Past

November 22, 2013 - December 31, 2015

NATIONAL SECURITIES CORPORATION

CRD#: 7569

GLENS FALLS, NY

Past

August 19, 2009 - May 6, 2014

ASSET & FINANCIAL PLANNING, LTD

RIA

CRD#: 110709

GLEN FALLS, NY

Past

January 29, 1998 - November 22, 2013

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

GLENS FALLS, NY

Past

February 8, 1993 - February 6, 1998

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

November 11, 1991 - January 22, 1993

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

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".

ADIRONDACK FINANCIAL SERVICES CORP

CRD#: 126155 / SEC#: 801-64779

RIA

Registered Investment Advisory firm - (10/3/2005 Approved)

New York

Registered Investment Advisory firm - (10/7/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Colorado
(7/20/2018)

New York
(2/27/2016)

IAR

New York
(12/5/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/8/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/8/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/13/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ADIRONDACK FINANCIAL SERVICES CORP

CRD#: 126155 / SEC#: 801-64779

RIA

Registered Investment Advisory firm - (10/3/2005 Approved)

New York

Registered Investment Advisory firm - (10/7/2005 Terminated)

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Contact information

Main Address

185 Genesee Street Suite 210, Utica, NY 13501

Mailing Address

Phone number

(315) 724-4186

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV, PART 2 BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	868
AUM (Assets Under Management)	$ 411,908,138

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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Frances J. Parent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frances J Parent's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAZARD & SIEGEL, INC.

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

ASSET & FINANCIAL PLANNING, LTD

PRIME CAPITAL SERVICES, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

ADIRONDACK FINANCIAL SERVICES CORP

State Registrations and Notice Filings

Exams

Series 63

Date: 11/8/1991

SIE

Date: 10/1/2018

Series 7

Date: 10/8/1992

Series 6

Date: 11/8/1991

Series 24

Date: 12/13/2001

FINRA

Current Firm

ADIRONDACK FINANCIAL SERVICES CORP

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADIRONDACK FINANCIAL SERVICES CORP

TRUST BUT VERIFY

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