Stacy A. Francis
FRANCIS FINANCIAL
New York, NY 10006
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CRD#: 2939253
Professional summary
Stacy A Francis, CFP®, who also goes by Stacy Anne Francis, Stacy A Roose, Stacy Anne Roose, is a registered financial advisor currently at FRANCIS FINANCIAL located in New York, New York.
Stacy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Stacy has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Biography
Francis Financial is a boutique wealth management and financial planning firm specializing in high net worth individuals and families with over $2MM in investable assets and dedicated to providing you personalized financial guidance. Our comprehensive financial planning process offers established individuals and families with a holistic navigation tool for financial success.
Our fee-only approach promises the greatest amount of objectivity in our recommendations and services to you and guarantees fiduciary loyalty and financial peace-of-mind to our family of clients. We provide ongoing portfolio management tailored to your personal goals and help ensure the best strategic allocation and growth of your assets.
Question & Answer
What are your service offerings?
Investment Planning
Comprehensive Financial Planni...
Do you have an area of expertise or specialization?
Divorce Planning
High Net Worth Client Needs
Investment Advice with Ongoing...
Retirement Plan Investment Adv...
Retirement Planning & Distribu...
Women's Financial Planning Iss...
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Stacy Anne Francis | Stacy A Roose | Stacy Anne Roose
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.
NAME : SAVVY LADIES
INVESTMENT-RELATED : YES
ADDRESS : PO BOX 670, PECK SLIP STATION, NY, 10272-0670
NATURE : FINANCIAL EDUCATION
POSITION : BOARD MEMBER
TITLE : FOUNDER
RELATIONSHIP WITH OTHER BUSINESS : NO FORMAL RELATIONSHIP
START DATE OF RELATIONSHIP : 2003
APPROXIMATE NUMBER OF HOURS / MONTH : 15
APPROXIMATE NUMBER OF HOURS DURING SECURITIES TRADING HOURS : 10
DUTIES : COORDINATING BOARD MEMBER MEETINGS, DESIGNING EDUCATION PROGRAMS, SPEAKING ENGAGEMENTS
CRS (Client Relationship Summary) - RIA
Click below to view Stacy A Francis'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®
CFP®
Start date: 2004
Experience
Current
July 6, 2021 - Present
FRANCIS FINANCIAL
Office #1: 39 Broadway Suite 1730, New York, NY 10006RIA
CRD#: 128067
New York, NY
Past
March 17, 2014 - December 31, 2016
FRANCIS FINANCIAL
RIA
CRD#: 128067
NEW YORK, NY
Past
September 14, 2009 - December 31, 2012
FRANCIS FINANCIAL
RIA
CRD#: 128067
NEW YORK, NY
Past
March 3, 2003 - August 29, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
March 3, 2003 - August 29, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
FRANCIS FINANCIAL
FRANCIS FINANCIAL | FRANCIS FINANCIAL, INC.
CRD#: 128067 / SEC#: 801-76703
RIA
Registered Investment Advisory firm - (6/7/2012 Approved)New Jersey
Registered Investment Advisory firm - (6/14/2012 Terminated)New York
Registered Investment Advisory firm - (10/30/2012 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
New York(7/6/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
FRANCIS FINANCIAL
FRANCIS FINANCIAL | FRANCIS FINANCIAL, INC.
CRD#: 128067 / SEC#: 801-76703
RIA
Registered Investment Advisory firm - (6/7/2012 Approved)New Jersey
Registered Investment Advisory firm - (6/14/2012 Terminated)New York
Registered Investment Advisory firm - (10/30/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
39 Broadway Suite 1730, New York, NY 10006
Mailing Address
Phone number
(212) 374-9008
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,014 |
| AUM (Assets Under Management) | $ 680,293,776 |
Red Flags
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