Francis J. Hoey

HOEY INVESTMENTS

Coatesville, PA 19320

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CRD#: 2911665

Professional summary

Francis James Hoey, CFP®, CIMA®, who also goes by Fran Hoey, Francis J Hoey, is a registered financial advisor currently at HOEY INVESTMENTS, INC. located in Coatesville, Pennsylvania.

Francis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Francis has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fran Hoey | Francis J Hoey

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.

HOEY INVESTMENTS; INVESTMENT RELATED; 410 NORTH HIGH ST. WEST CHESTER PA 19380; INVESTMENT RELATED; PRESIDENT; NO; START DATE 01/15/2010; 40 HOURS PER WEEK DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis James Hoey'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

Start date: 2005

CIMA^®

Certified Investment Management Analyst

Experience

Current

November 23, 2009 - Present

HOEY INVESTMENTS, INC.

Office #1: 1000 Brandywine Creek Rd., Coatesville, PA 19320

RIA

CRD#: 152103

Coatesville, PA

Past

January 19, 2010 - November 23, 2015

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

WEST CHESTER, PA

Past

January 8, 2008 - December 31, 2009

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

WEST CHESTER, PA

Past

January 8, 2008 - December 31, 2009

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

WEST CHESTER, PA

Past

January 5, 2001 - January 9, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

EXTON, PA

Past

August 20, 1997 - January 9, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

EXTON, PA

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".

HOEY INVESTMENTS, INC.

CRD#: 152103 / SEC#: 801-80919

RIA

Registered Investment Advisory firm - (2/2/2015 Approved)

California

Registered Investment Advisory firm - (3/20/2015 Terminated)

Delaware

Registered Investment Advisory firm - (2/20/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (2/20/2015 Terminated)

Texas

Registered Investment Advisory firm - (2/19/2015 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.

Highlighted states indicate IAR registrations

IAR

Arizona
(5/1/2025)

IAR

California
(7/11/2012)

IAR

Pennsylvania
(11/23/2009)

IAR

Texas
(3/24/2010)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/16/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/25/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/23/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/1997

General Securities Representative Examination

Current Firm

HOEY INVESTMENTS, INC.

CRD#: 152103 / SEC#: 801-80919

RIA

Registered Investment Advisory firm - (2/2/2015 Approved)

California

Registered Investment Advisory firm - (3/20/2015 Terminated)

Delaware

Registered Investment Advisory firm - (2/20/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (2/20/2015 Terminated)

Texas

Registered Investment Advisory firm - (2/19/2015 Terminated)

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Contact information

Main Address

1000 Brandywine Creek Rd., Coatesville, PA 19320

Mailing Address

Phone number

(610) 738-4280

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,322
AUM (Assets Under Management)	$ 635,527,528

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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Advisor Monitoring

Firm Stability Insights

Francis J. Hoey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis James Hoey's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HOEY INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/1997

Series 63

Date: 9/25/1997

SIE

Date: 11/23/2015

Series 7

Date: 8/19/1997

Current Firm

HOEY INVESTMENTS, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOEY INVESTMENTS, INC.

TRUST BUT VERIFY

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