Francis J. Burkley

Some features on this profile are disabled

CRD#: 5037490

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 Joseph Burkley, who also goes by Joe Francis Burkley, Joseph Francis Burkley, was a registered financial professional .

Francis is a previously registered financial professional and started their career in finance in 2005. Francis had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Francis Burkley | Joseph Francis Burkley

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.

Blog Corner

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®

None

Experience

Past

October 14, 2015 - December 31, 2021

PROMONTORY FINANCIAL PLANNING, LLC

RIA

CRD#: 153666

West Jordan, UT

Past

July 6, 2012 - September 25, 2015

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

WEST JORDAN, UT

Past

July 5, 2012 - September 25, 2015

NATIONWIDE SECURITIES, LLC

CRD#: 11173

WEST JORDAN, UT

Past

August 17, 2010 - June 20, 2012

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

SOUTH JORDAN, UT

Past

August 12, 2010 - August 26, 2011

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

SALT LAKE CITY, UT

Past

December 8, 2008 - August 13, 2010

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

COTTONWOOD HEIGHTS, UT

Past

May 9, 2008 - November 21, 2008

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

COTTONWOOD HEIGHTS, UT

Past

May 9, 2008 - December 31, 2009

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

COTTONWOOD HEIGHTS, UT

Past

September 21, 2007 - May 12, 2008

VARIABLE INVESTMENT ASSOCIATES, INC.

CRD#: 44412

TEA, SD

Past

February 28, 2007 - September 24, 2007

INVESTMENT MANAGEMENT CORPORATION

CRD#: 37196

SALT LAKE CITY, UT

Past

December 15, 2005 - February 14, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MIDVALE, UT

Past

November 21, 2005 - February 14, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MIDVALE, UT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROMONTORY FINANCIAL PLANNING, LLC

GOAR FINANCIAL SERVICES | PROMONTORY FINANCIAL PLANNING, LLC | PROMONTORY FINANCIAL PLANNIG, LLC | PREMIER FINANCIAL PLANNING

CRD#: 153666 / SEC#: 801-114494

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

Arizona

Registered Investment Advisory firm - (2/1/2019 Terminated)

California

Registered Investment Advisory firm - (4/10/2019 Terminated)

Colorado

Registered Investment Advisory firm - (2/12/2019 Terminated)

Idaho

Registered Investment Advisory firm - (2/1/2019 Terminated)

Utah

Registered Investment Advisory firm - (2/4/2019 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).

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.

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: 12/14/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/25/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/2005

General Securities Representative Examination

Current Firm

PROMONTORY FINANCIAL PLANNING, LLC

GOAR FINANCIAL SERVICES | PROMONTORY FINANCIAL PLANNING, LLC | PROMONTORY FINANCIAL PLANNIG, LLC | PREMIER FINANCIAL PLANNING

CRD#: 153666 / SEC#: 801-114494

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

Arizona

Registered Investment Advisory firm - (2/1/2019 Terminated)

California

Registered Investment Advisory firm - (4/10/2019 Terminated)

Colorado

Registered Investment Advisory firm - (2/12/2019 Terminated)

Idaho

Registered Investment Advisory firm - (2/1/2019 Terminated)

Utah

Registered Investment Advisory firm - (2/4/2019 Terminated)

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

Farmington, UT

Mailing Address

Phone number

(801) 513-2545

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROMONTORY FINANCIAL PLANNING (2/11/2025)

Regulatory assets under management

Total Number of Accounts	570
AUM (Assets Under Management)	$ 280,000,000

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

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Francis J. Burkley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

G.F. INVESTMENT SERVICES, LLC

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

VARIABLE INVESTMENT ASSOCIATES, INC.

INVESTMENT MANAGEMENT CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PROMONTORY FINANCIAL PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/14/2005

SIE

Date: 9/25/2015

Series 7

Date: 11/18/2005

Current Firm

PROMONTORY FINANCIAL PLANNING, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROMONTORY FINANCIAL PLANNING, LLC

TRUST BUT VERIFY

Similar Advisors