Francis Ortner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Francis Ortner, who also goes by Francis Charles Ortner III, Frank Ortner III, Frank Ortner, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1997. Francis had worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 6, Series 7, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2018 - March 6, 2019
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
February 4, 2009 - May 2, 2016
LEIGH BALDWIN & CO., LLC
October 19, 2000 - December 10, 2018
ONESOURCE RETIREMENT ADVISORS, INC.
September 8, 2000 - December 31, 2004
LEIGH BALDWIN & CO., LLC
October 27, 1997 - October 5, 2000
1717 CAPITAL MANAGEMENT COMPANY
Primary Firm SEC Registration
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
CRD#: 116407 / SEC#: 801-60749
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
CRD#: 116407 / SEC#: 801-60749
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 186,400 |
| AUM (Assets Under Management) | $ 94,632,028,506 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 03/05/2024 | ||
| 09/26/2023 |
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.
