Francis M. Hawkins
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 M Hawkins, who also goes by Fran M Hawkins, Fran Martin Hawkins, Fran Hawkins, Francis Martin Hawkins, Francis Hawkins, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1993. Francis had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2018 - December 31, 2020
BFC PLANNING, INC.
May 14, 2018 - December 31, 2020
SECURITIES MANAGEMENT & RESEARCH, INC.
October 4, 2016 - January 30, 2017
OPTIMUS WEALTH MANAGEMENT GROUP, INC.
April 7, 2015 - June 3, 2016
LPL FINANCIAL LLC
April 7, 2015 - June 3, 2016
LPL FINANCIAL LLC
January 26, 2015 - March 24, 2015
EDWARD JONES
January 23, 2015 - March 24, 2015
EDWARD JONES
June 6, 2012 - January 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2012 - January 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 2010 - May 24, 2012
JANNEY MONTGOMERY SCOTT LLC
June 7, 2010 - May 24, 2012
JANNEY MONTGOMERY SCOTT LLC
July 17, 2008 - May 1, 2009
CITIZENS SECURITIES, INC.
July 9, 2008 - May 1, 2009
CITIZENS SECURITIES, INC.
June 28, 2007 - July 22, 2008
ALLSTATE FINANCIAL SERVICES, LLC
May 16, 2006 - June 8, 2006
HSBC SECURITIES (USA) INC.
January 6, 2006 - April 5, 2006
CITIGROUP GLOBAL MARKETS INC.
June 9, 2005 - October 17, 2005
VAN KAMPEN ADVISORS INC
November 9, 2004 - October 17, 2005
INVESCO CAPITAL MARKETS, INC.
November 29, 2001 - September 7, 2004
LORD, ABBETT & CO. LLC
November 7, 2001 - August 10, 2004
LORD ABBETT DISTRIBUTOR LLC
August 9, 1994 - November 1, 2001
VP DISTRIBUTORS LLC
March 26, 1993 - December 31, 1993
NSR DISTRIBUTORS, INC.
Primary Firm SEC Registration
BFC PLANNING, INC.
CRD#: 119682 / SEC#: 801-67427
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BFC PLANNING, INC.
CRD#: 119682 / SEC#: 801-67427
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,756 |
| AUM (Assets Under Management) | $ 2,026,848,859 |
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.
