Francisco Watkins

ASESORIA FINANCIERA INDEPENDIENTE

San Diego, CA

Some features on this profile are disabled

CRD#: 2946197

Professional summary

Francisco Watkins MR., who also goes by Francisco R Watkins, Francisco Raul Watkins Mr., Francisco Raul Watkins, is a registered financial advisor currently at ASESORIA FINANCIERA INDEPENDIENTE, INC. located in San Diego, California.

Francisco is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Francisco has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Francisco R Watkins | Francisco Raul Watkins Mr. | Francisco Raul Watkins

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.

Francisco Watkins, in his capacity as President of AFI, may occasionally teach seminars on financial matters. This has only been done once: a two day seminar to recent recruits of a major asset manager in New York City. The seminar was sub-contracted to several consulting firm specialists in training for financial institutions, and AFI was hired by one of these firms: Genesis International.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francisco Watkins MR.'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®

None

Experience

Current

April 15, 2010 - Present

ASESORIA FINANCIERA INDEPENDIENTE, INC.

RIA

CRD#: 152439

San Diego, CA

Past

December 16, 2008 - April 30, 2009

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

NEW YORK, NY

Past

September 10, 2008 - April 30, 2009

UBS INTERNATIONAL INC.

CRD#: 107726

NEW YORK, NY

Past

November 4, 1997 - March 1, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

California
(5/25/2018)

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 66

Date: 9/24/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/9/2008

General Securities Representative Examination

Current Firm

ASESORIA FINANCIERA INDEPENDIENTE, INC.

CRD#: 152439 / SEC#:

California

Registered Investment Advisory firm - (5/25/2018 Approved)

Florida

Registered Investment Advisory firm - (5/30/2018 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

San Diego, CA

Mailing Address

Phone number

(646) 301-6470

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	8
AUM (Assets Under Management)	$ 19,683,765

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Francisco Watkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francisco Watkins MR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

ASESORIA FINANCIERA INDEPENDIENTE, INC.

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 9/24/2008

Series 7

Date: 9/9/2008

Current Firm

ASESORIA FINANCIERA INDEPENDIENTE, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASESORIA FINANCIERA INDEPENDIENTE, INC.

TRUST BUT VERIFY

Similar Advisors