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Francis A. Burgoyne

PEP ADVISORY LLC
Houston, TX 77007
Some features on this profile are disabled
CRD#: 4653424
FB

Professional summary

Francis Andrew Burgoyne MR., who also goes by Drew Burgoyne, Francis Andrew Burgoyne, is a registered financial professional currently at PEP ADVISORY LLC located in Houston, Texas.

Francis is registered as a RR (Registered Representative) and started their career in finance in 2003. Francis has worked at 3 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Drew Burgoyne | Francis Andrew Burgoyne

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)04/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - SYMPHONY FINANCIAL, LTD. CO - INVESTMENT RELATED - HOUSTON, TX 77032 2)1960 - REAL ESTATE RENTAL - GANDY ROBERTSON, INC - INVESTMENT RELATED - CORPUS CHRISTI, TX 78403 3) 5/26/2021 - Symphony Financial, Ltd. Co. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 4/1/2021 - 40 Hours Per Month During Securities Trading - Time Spent 40% - I provide investment advisory services through Symphony Financial, Ltd. Co., an independent investment advisor firm. I started this business activity in 4/2021. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 09/14/2021 - Burgoyne Capital Management, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date: 10/05/2011 - 0 Hours Per Month/0 Hours During Securities.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Francis Andrew Burgoyne 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

October 7, 2024 - Present

PEP ADVISORY LLC

Office #1: 100 Waugh Drive Suite 600, Houston, TX 77007
BD
CRD#: 166636
Houston, TX
Past

April 28, 2021 - May 9, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
HOUSTON, TX
Past

April 7, 2021 - May 1, 2024

SYMPHONY FINANCIAL, LTD. CO.

RIA
CRD#: 171816
HOUSTON, TX
Past

July 30, 2003 - September 22, 2004

LPL FINANCIAL LLC

RIA
CRD#: 6413
HOUSTON, TX
Past

May 29, 2003 - September 22, 2004

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(10/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/7/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/29/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/27/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/22/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/27/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PEP ADVISORY LLC
CDH SECURITIES, LLC | PEP ADVISORY LLC | HEIKKINEN ENERGY SECURITIES, LLC

CRD#: 166636 / SEC#: , 8-69224

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
100 Waugh Drive Suite 600, Houston, TX 77007
Mailing Address
100 Waugh Drive Suite 600, Houston, TX 77007
Phone number
(713) 930-0371
Established
Texas since 12/07/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
INVICTA XV + LPLIMITED PARTNER/MEMBER
GUHA, JISHNUCHIEF COMPLIANCE OFFICER4908714
MOODY, WALKER NELSONCEO5007440
PICKERING, DANIEL RAYMANAGING DIRECTOR2832592
SCHAPS, MICHAEL ROBERTFINOP/CFO/PFO/POO1892138

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.

Company Information

PEP ADVISORY LLC

CRD#: 166636Houston, TX 77007

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Contact information

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