ZF
Zed S. Francis
CONVEXITAS
CHICAGO, IL 60611
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CRD#: 5158777
ZF
Professional summary
Zed Springer Francis is a registered financial advisor currently at CONVEXITAS located in Chicago, Illinois.
Zed is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Zed has worked at 2 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
I serve as a member of the YWCA Chicago's Impact Investing Advisory Council. This is an unpaid advisory group of about 80 members which provides advice to YWCA Chicago regarding its Impact Investing initiatives. The council has no influence on any investment decisions. I have been a member since November 2017 and participate at the YWCA Chicago headquarters which is located at 1 N LaSalle Street, #1700, Chicago, IL 60602. As a member of the council I attend bi-monthly meetings which require an average of 1 hour per month of my time. None of my participation takes place during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Zed Springer Francis'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®
NoneExperience
Current
October 4, 2021 - Present
CONVEXITAS
Office #1: 444 N Wabash Ave Suite 300, Chicago, IL 60611RIA
CRD#: 315145
CHICAGO, IL
Past
November 14, 2007 - June 12, 2008
UBS SECURITIES LLC
BD
CRD#: 7654
CHICAGO, IL
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".
CO
CONVEXITAS
CONVEXITAS | CONVEXITAS, LLC
CRD#: 315145 / SEC#: 801-132451
RIA
Registered Investment Advisory firm - (4/18/2025 Approved)Illinois
Registered Investment Advisory firm - (6/24/2025 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Texas(6/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CO
CONVEXITAS
CONVEXITAS | CONVEXITAS, LLC
CRD#: 315145 / SEC#: 801-132451
RIA
Registered Investment Advisory firm - (4/18/2025 Approved)Illinois
Registered Investment Advisory firm - (6/24/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
444 W Lake Street 17th Floor, Chicago, IL 60606
Mailing Address
Phone number
(312) 210-9650
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8 |
| AUM (Assets Under Management) | $ 163,704,000 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Illinois | ERA - Withdrawn | 8/25/2021 |
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.
