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FM

Francis J. Mckiernan

THIRD VIEW PRIVATE WEALTH
Scarsdale, NY
Some features on this profile are disabled
CRD#: 6321345
FM

Professional summary

Francis John Mckiernan, who also goes by Francis Mckiernan, Frank Mckiernan, is a registered financial advisor currently at THIRD VIEW PRIVATE WEALTH located in Scarsdale, New York.

Francis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Francis has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Francis Mckiernan | Frank Mckiernan

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) Third View Risk, LLC; Licensed Insurance Agent; Investment related; 55 Post Road West First Floor, Westport, CT 06880; Insurance Sales; 05/2025; 10 hours per month; Sell life insurance products as needed for clients that need coverage.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis John Mckiernan'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 22, 2025 - Present

THIRD VIEW PRIVATE WEALTH

RIA
CRD#: 335591
Scarsdale, NY
Past

June 27, 2023 - May 21, 2025

PROCYON

RIA
CRD#: 288239
New York, NY
Past

January 4, 2021 - July 26, 2023

BAKER TILLY WEALTH MANAGEMENT, LLC

RIA
CRD#: 167811
New York, NY
Past

January 4, 2021 - July 26, 2023

BAKER TILLY CAPITAL, LLC

BD
CRD#: 115333
MADISON, WI
Past

March 29, 2018 - January 2, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
STAMFORD, CT
Past

March 29, 2018 - January 2, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
STAMFORD, CT
Past

November 25, 2015 - March 28, 2018

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

November 24, 2015 - March 28, 2018

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

July 17, 2014 - December 16, 2015

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
NEW YORK, NY
Past

June 12, 2014 - December 16, 2015

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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".
TV
THIRD VIEW PRIVATE WEALTH
THIRD VIEW PRIVATE WEALTH | THIRD VIEW PRIVATE WEALTH, LLC

CRD#: 335591 / SEC#: 801-132770

RIA
Registered Investment Advisory firm - (5/19/2025 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
New York
(5/22/2025)
IAR
Texas
(8/4/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/7/2014
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: 6/12/2014
General Securities Representative Examination

Current Firm

TV
THIRD VIEW PRIVATE WEALTH
THIRD VIEW PRIVATE WEALTH | THIRD VIEW PRIVATE WEALTH, LLC

CRD#: 335591 / SEC#: 801-132770

RIA
Registered Investment Advisory firm - (5/19/2025 Approved)
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Contact information

Main Address
55 Post Road West 1st Floor, Westport, CT 06880
Mailing Address
1771 Post Road East Pmb #118, Westport, CT 06880
Phone number
(860) 759-0650
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (12 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

TVPW ADV 2A (10/14/2025)

Regulatory assets under management

Total Number of Accounts2,096
AUM (Assets Under Management)$ 1,054,256,330

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

THIRD VIEW PRIVATE WEALTH

CRD#: 335591Scarsdale, NY

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