Francis X. Amsler
Professional summary
Francis Xavier Amsler, CFA, CFP®, CIMA®, who also goes by Francis Xavier Amsler Jr, Francis Xavier Jr Amsler, Francis Xavier Xavier Amsler Jr, Frank Amsler Jr, Frank Amsler, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Houston, Texas.
Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Francis has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Francis Xavier Amsler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Francis Xavier Amsler's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2001
Experience
September 4, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1600 West Loop South, Suite 700, Houston, TX 77027September 4, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1600 West Loop South, Suite 700, Houston, TX 77027November 7, 2008 - September 15, 2020
UBS FINANCIAL SERVICES INC.
November 7, 2008 - September 15, 2020
UBS FINANCIAL SERVICES INC.
July 10, 1995 - November 14, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 9, 1995 - November 14, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 17, 1995 - June 20, 1995
LEHMAN BROTHERS INC.
September 27, 1994 - May 3, 1995
SALOMON BROTHERS INC.
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/15/2020)
(9/4/2020)
(9/14/2020)
(9/4/2020)
(9/23/2020)
(9/4/2020)
(8/30/2024)
(9/4/2020)
(9/17/2020)
(11/1/2024)
(9/4/2020)
(9/4/2020)
(4/13/2023)
(9/4/2020)
(9/4/2020)
(9/4/2020)
(9/4/2020)
Exams
FINRA
Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
