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Gregory Thomas Francis

CRD# 4251951·Registered 2000 - 2012
Previously Registered: Being a previously registered professional could mean that Gregory 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.

Professional Summary

Gregory Thomas Francis was a registered financial advisor. Gregory was a previously registered financial professional and started their career in finance 2000 - 2012. Gregory had worked at 3 firms and has passed the Series 66 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

SCINTO GROUP LLP·CRD# 130565
RIA
Grass Valley, CA
March 5, 2004 - August 30, 2012
COMMONWEALTH FINANCIAL NETWORK·CRD# 8032
RIA
Grass Valley, CA
March 27, 2003 - February 11, 2004
COMMONWEALTH FINANCIAL NETWORK·CRD# 8032
RIA
Grass Valley, CA
December 5, 2001 - December 31, 2002
COMMONWEALTH FINANCIAL NETWORK·CRD# 8032
BD
Waltham, MA
November 30, 2001 - December 31, 2002
1ST GLOBAL CAPITAL CORP.·CRD# 30349
BD
Dallas, TX
September 13, 2000 - November 30, 2001

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Current Firm

SG
SCINTO GROUP LLP

FRANCIS, SCINTO & ASSOCIATES, LLP | SCINTO GROUP LLP | SCINTO GRAZIANO, LLP | FRANCIS, SCINTO + GRAZIANO, LLP

CRD#: 130565
California
Registered Investment Advisory firm - California (4/14/2016 Approved)

Contact Information

Main Address

420 Sierra College Drive, Grass Valley, CA 95945

Mailing Address

Po Box 1797, Grass Valley, CA 95945

Phone Number

(530) 273-3200

# of Employees

5

Documents

Latest Form ADV

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Sep 2000About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Sep 2000About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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