Francis Joseph Hendricks
Professional Summary
Francis Joseph Hendricks, who also goes by Francis Joseph Hendrick, Francis J Hendricks, was a registered financial advisor. Francis was a previously registered financial professional and started their career in finance 1967 - 2021. Francis had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 5, PC, Series 1, Series 8, Series 4 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Francis Joseph Hendrick, Francis J Hendricks
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
59 years in the financial services industry
Current & Past Employments
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Current Firm
ADVISORY GROUP EQUITY SERVICES LTD. | INTEGRATED FINANCIAL STRATEGIES, INC. | AGES FINANCIAL SERVICES, LTD. | ADVISORY INVESTMENT SERVICES, LTD.
Contact Information
Established
Massachusetts since 06/25/1984Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
4Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1981PC — AMEX Put and Call Exam
Passed Aug 1977Series 1 — Registered Representative Examination
Passed Jun 1967Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed May 1988Series 40 — Registered Principal Examination
Passed Dec 1972Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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