FD
Francois J. Ducroux
BAY COLONY ADVISORS
Concord, MA 01742
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CRD#: 2909432
FD
Professional summary
Francois Jerome Ducroux, who also goes by Francois J Ducroux, Frank Ducroux, Francois J Dugroux, is a registered financial advisor currently at BAY COLONY ADVISORS located in Concord, Massachusetts.
Francois is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Francois has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Francois J Ducroux | Frank Ducroux | Francois J Dugroux
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.
CRS (Client Relationship Summary) - RIA
Click below to view Francois Jerome Ducroux's 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®
NoneExperience
Current
July 10, 2020 - Present
BAY COLONY ADVISORS
Office #1: 86 Baker Avenue Extension Suite 310, Concord, MA 01742RIA
CRD#: 152583
Concord, MA
Past
October 6, 2009 - July 16, 2020
WINSLOW, EVANS & CROCKER, INC.
RIA
CRD#: 29686
BOSTON, MA
Past
September 25, 2009 - July 16, 2020
WINSLOW, EVANS & CROCKER, INC.
BD
CRD#: 29686
BOSTON, MA
Past
January 15, 2008 - September 28, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
December 2, 2005 - September 28, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
May 19, 2000 - December 9, 2005
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
January 4, 1999 - May 23, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 6, 1998 - January 5, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
BC
BAY COLONY ADVISORS
ALLEGIANCE FINANCIAL SERVICES INC. | WINDSOR WEALTH MANAGEMENT | TEWKS WEALTH MANAGEMENT, LLC | SENTINEL ADVISORY SERVICES | PENSION & WEALTH MANAGEMENT ADVISORS | LEONARD FINANCIAL GROUP | LEGACY FINANCIAL | HAGIN INVESTMENT MANAGEMENT | GREENHAVEN FINANCIAL MANAGEMENT | GLAZIER FINANCIAL ADVISORS | ESSENTIAL ASSET MANAGEMENT, LLC | EMERALD WEALTH ADVISORS | CHRISTOPHER LEE FINANCIAL | CASTLE HILL FINANCIAL | BUSINESS BENEFITS, INC. | BAY COLONY ADVISORY GROUP, INC. | BAY COLONY ADVISORS | ASYMMETRIC CAPITAL ADVISORY
CRD#: 152583 / SEC#: 801-107792
RIA
Registered Investment Advisory firm - (5/17/2016 Approved)Connecticut
Registered Investment Advisory firm - (6/3/2016 Terminated)Florida
Registered Investment Advisory firm - (5/19/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/10/2014 Terminated)North Carolina
Registered Investment Advisory firm - (6/24/2016 Terminated)Texas
Registered Investment Advisory firm - (5/19/2016 Terminated)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.Highlighted states indicate IAR registrations
IAR
Massachusetts(7/10/2020)
IAR
Texas(2/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BC
BAY COLONY ADVISORS
ALLEGIANCE FINANCIAL SERVICES INC. | WINDSOR WEALTH MANAGEMENT | TEWKS WEALTH MANAGEMENT, LLC | SENTINEL ADVISORY SERVICES | PENSION & WEALTH MANAGEMENT ADVISORS | LEONARD FINANCIAL GROUP | LEGACY FINANCIAL | HAGIN INVESTMENT MANAGEMENT | GREENHAVEN FINANCIAL MANAGEMENT | GLAZIER FINANCIAL ADVISORS | ESSENTIAL ASSET MANAGEMENT, LLC | EMERALD WEALTH ADVISORS | CHRISTOPHER LEE FINANCIAL | CASTLE HILL FINANCIAL | BUSINESS BENEFITS, INC. | BAY COLONY ADVISORY GROUP, INC. | BAY COLONY ADVISORS | ASYMMETRIC CAPITAL ADVISORY
CRD#: 152583 / SEC#: 801-107792
RIA
Registered Investment Advisory firm - (5/17/2016 Approved)Connecticut
Registered Investment Advisory firm - (6/3/2016 Terminated)Florida
Registered Investment Advisory firm - (5/19/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/10/2014 Terminated)North Carolina
Registered Investment Advisory firm - (6/24/2016 Terminated)Texas
Registered Investment Advisory firm - (5/19/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
86 Baker Avenue Extension Suite 310, Concord, MA 01742
Mailing Address
Phone number
(978) 369-7200
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,039 |
| AUM (Assets Under Management) | $ 1,263,305,046 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/06/2025 | ||
| 09/25/2024 | ||
| 10/24/2023 |
Red Flags
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Company Information
BAY COLONY ADVISORS
CRD#: 152583Concord, MA 01742TRUST BUT VERIFY
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