FC
Francine Cornaglia
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CRD#: 4124948
FC
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.
Francine Cornaglia was a registered financial professional .
Francine is a previously registered financial professional and started their career in finance in 2000. Francine had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
1) Francine Cornaglia, CPA/PFS~11 Goose Hill Road, P. O. Box 617~Chester~CT~06412~Tax Preparation/Accounting~Owner/Sole Proprietor~5/29/1985~150hrs~100hrs~prepare tax returns, accounting only to the extent to prepare accurate returns. 2) Francine Cornaglia CPA PFS~11 Goose Hill Rd~Chester~CT~06412~Tax Preparation/Accounting~Owner/Sole Proprietor~5/29/1985~120hrs~120hrs~tax planning and prep for small business and individuals 3) Avantax Insurance Agency, LLC~Chester, CT~Equity Indexed Annuity~Agent~9/17/2018~10hrs~10hrs~I may have the ability to sell any, or all of the following products: variable annuities, fixed annuities, any/all types of index annuities, variable insurance (e.g. VUL/VIL). 4) Town of Chester~203 Middlesex Avenue~Chester~CT~06412~Elected/Appointed Official~Other~3/1/2019~.25hrs~.25hrs~Attend one hour meetings four times per year to review activity and approve the minutes. I do not give any investment advice. 5) Community Music School~90 Main St~Centerbrook~CT~06409~Board Position/Officer~Other~1/30/2020~2hrs~0hrs~Attend Trustee Board meetings once a month. Attend fund raising activities like gala event, cheese rolling, donate, time money, and food to the events. 6) COMMUNITY MUSIC SCHOOL POSITION: Treasurer NATURE: The school is a 501(c)(3) not for profit organization with a professional Director and four additional full time employees. The financials are audited annually. The Finance Committee and the Board of Trustees conduct monthly meetings. Members of the board are expected to contribute money and time to the school. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2022 ADDRESS: 90 Main St, Centerbrook CT 06409, DESCRIPTION: In the new position as Treasurer, I will review reports prepared by the accountant and the Director for presentation to the finance committee. Chair monthly finance committee meetings. Sign 990 federal not for profit annual tax return. Signature authority with another trustee or director, at amounts exceeding Director's authority when necessary 7) DBA GREENSPACE FINANCIAL POSITION: sole proprietor NATURE: I am using this umbrella name with my sub rep, Timothy Richardson. We are each sole proprietors for tax purposes. The duties performed are tax preparation, tax planning, and investment services. This is the same business as Francine Cornaglia CPA PFS INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 09/10/2020; ADDRESS:1 Goose Hill Road, Chester CT 06412, This DBA is for Francine Cornaglia CPA PFS as above I provide tax and investment services under this DBA. 8) EQUITY INDEXED ANNUITIES POSITION: Avantax sales rep NATURE: Sales of equity indexed annuities are not securities and must be reported as OBA's. The annuity in question is on the Avantax approved list. Compliance reviewed and approved the disclosure for suitability before I recommended it. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2020; 11 Goose Hill Road, Chester CT 06412, My duties are providing a suitable investment for my client based on discussions, analysis, and review of other investments holdings and available alternatives. Avantax compliance provides a list of approved annuities and reviews and approves disclosures prior to my recommendations.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 9, 2020 - December 31, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Chester, CT
Past
October 16, 2000 - January 27, 2015
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CHESTER, CT
Past
February 10, 2000 - December 31, 2023
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CHESTER, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
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Contact information
Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
