Paul H. Francis

QUADRANT PRIVATE WEALTH MANAGEMENT

Center Valley, PA 18034

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CRD#: 6243595

Professional summary

Paul Henry Francis, CFP®, CPWA®, who also goes by Paul H Francis, Paul Henry Francis, is a registered financial advisor currently at QUADRANT PRIVATE WEALTH MANAGEMENT, LLC located in Center Valley, Pennsylvania.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Paul has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul H Francis | Paul Henry 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.

Quadrant Private Wealth Management, LLC. Investment related. 3850 Sierra Circle Suite 300 Center Valley, PA 18034. Investment. Private Wealth Advisor. 2/24/2020. 200 hrs/mnth. 200 hrs/trading hrs. Investment advice.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Henry 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®

CFP^®

Certified Financial Planner

Start date: 2017

CPWA^®

Certified Private Wealth Advisor

Start date: 2019-12-30

Expire date: 2023-11-30

Experience

Current

February 26, 2020 - Present

QUADRANT PRIVATE WEALTH MANAGEMENT, LLC

Office #1: 3850 Sierra Circle Ste 300, Center Valley, PA 18034

RIA

CRD#: 277044

Center Valley, PA

Past

February 21, 2020 - May 31, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Center Valley, PA

Past

November 15, 2013 - February 24, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ALLENTOWN, PA

Past

October 15, 2013 - February 24, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ALLENTOWN, PA

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".

QUADRANT PRIVATE WEALTH MANAGEMENT, LLC

QUADRANT CAPITAL LLC | QUADRANT PRIVATE WEALTH MANAGEMENT, LLC

CRD#: 277044 / SEC#: 801-106484

RIA

Registered Investment Advisory firm - (7/1/2015 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

Pennsylvania
(2/26/2020)

IAR

Texas
(2/26/2020)

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: 11/14/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/2013

General Securities Representative Examination

Current Firm

QUADRANT PRIVATE WEALTH MANAGEMENT, LLC

QUADRANT CAPITAL LLC | QUADRANT PRIVATE WEALTH MANAGEMENT, LLC

CRD#: 277044 / SEC#: 801-106484

RIA

Registered Investment Advisory firm - (7/1/2015 Approved)

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Contact information

Main Address

3850 Sierra Circle Ste 300, Center Valley, PA 18034

Mailing Address

Phone number

(610) 849-2743

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR QUADRANT PRIVATE WEALTH MANAGEMENT, LLC (3/25/2025)

Regulatory assets under management

Total Number of Accounts	2,764
AUM (Assets Under Management)	$ 1,812,482,190

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.

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Paul H. Francis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Henry Francis's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUADRANT PRIVATE WEALTH MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

QUADRANT PRIVATE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2013

SIE

Date: 10/1/2018

Series 7

Date: 10/15/2013

Current Firm

QUADRANT PRIVATE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUADRANT PRIVATE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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