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Scott Clifton Francis

Scott C. Francis

HFG WEALTH MANAGEMENT | Financial Advisor
THE WOODLANDS, TX 77380
Some features on this profile are disabled
CRD#: 5537436
Scott Clifton Francis

Professional summary

Scott Clifton Francis, who also goes by Scott C Francis, Scott Francis, is a registered financial advisor currently at HFG WEALTH MANAGEMENT, LLC located in The Woodlands, Texas.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Scott has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

What are your service offerings?
Wealth Preservation Strategies
Retirement Planning Strategies
Business Retirement Plans
Are you a "fiduciary"?
Yes

Aliases

Scott C Francis | Scott Francis

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) Board of Directors; Francis, Scott; general board member; 119 fm 980, Huntsville, TX, 77320; Not Investment-Related; 07/2022; 1 to 9 hours per month; 0 during trading hours, 2) Francis, Scott; Board Member; 1433 veterans memorial pkwy, , Huntsville, TX, 77403; Not Investment-Related; 02/2021; 1 to 9 hours per month; 1 to 9 during trading hours, 3) Francis, Scott; Insurance Agent, General Lines Agent, Life, Accident, Health and HMO, 06/2006.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Clifton Francis's CRS (Customer Relationship Summary).
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

May 23, 2024 - Present

HFG WEALTH MANAGEMENT, LLC

Office #1: 1790 Hughes Landing Blvd Suite 575, The Woodlands, TX 77380
RIA
CRD#: 148406
THE WOODLANDS, TX
Past

January 27, 2023 - May 28, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Huntsville, TX
Past

January 27, 2023 - May 28, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Huntsville, TX
Past

September 27, 2016 - January 31, 2023

EDWARD JONES

RIA
CRD#: 250
HUNTSVILLE, TX
Past

September 23, 2016 - January 31, 2023

EDWARD JONES

BD
CRD#: 250
HUNTSVILLE, TX
Past

October 9, 2013 - September 15, 2016

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA
CRD#: 110476
HUNTSVILLE, TX
Past

May 16, 2013 - September 15, 2016

BBVA SECURITIES INC.

BD
CRD#: 27060
HUNTSVILLE, TX
Past

October 15, 2010 - August 6, 2012

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA
CRD#: 110476
HOUSTON, TX
Past

June 10, 2010 - October 15, 2010

ST JOHNS WEALTH MANAGEMENT

RIA
CRD#: 105564
LIVINGSTON, TX
Past

June 11, 2009 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
HUNTSVILLE, TX
Past

August 13, 2008 - March 6, 2009

EDWARD JONES

RIA
CRD#: 250
MONTGOMERY, TX
Past

July 21, 2008 - March 6, 2009

EDWARD JONES

BD
CRD#: 250
MONTGOMERY, TX

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".
HW
HFG WEALTH MANAGEMENT, LLC
HARVEY FINANCIAL GROUP | HFG WEALTH MANAGEMENT, LLC

CRD#: 148406 / SEC#: 801-69751

RIA
Registered Investment Advisory firm - (11/28/2008 Approved)

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
(5/23/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/31/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/2008
General Securities Representative Examination

Current Firm

HW
HFG WEALTH MANAGEMENT, LLC
HARVEY FINANCIAL GROUP | HFG WEALTH MANAGEMENT, LLC

CRD#: 148406 / SEC#: 801-69751

RIA
Registered Investment Advisory firm - (11/28/2008 Approved)
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Contact information

Main Address
1790 Hughes Landing Blvd Suite 575, The Woodlands, TX 77380
Mailing Address
Phone number
(832) 585-0110
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (4 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HFG WEALTH MANAGEMENT, LLC ADV PART 2A (3/7/2025)

Regulatory assets under management

Total Number of Accounts1,447
AUM (Assets Under Management)$ 460,740,848

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

HFG WEALTH MANAGEMENT, LLC

Financial AdvisorCRD#: 148406The Woodlands, TX 77380

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Contact information

(xxx) xxx-xxxx
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