CF
Catherine E. Francis
PRINCIPAL ADVISED SERVICES
ESTERO, FL
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CRD#: 6774017
CF
Professional summary
Catherine Elizabeth Francis, who also goes by Catherine Cannon, Catherine E Cannon-francis, Catherine Cannon-francis, Catherine Francis, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Estero, Florida and PRINCIPAL SECURITIES, INC. located in Charlotte, North Carolina.
Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Catherine has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Catherine Cannon | Catherine E Cannon-Francis | Catherine Cannon-Francis | Catherine 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.
**Brooks School; Not Investment Related; North Andover, MA; Brooks School Alumni Board Member; Foster the ongoing relationship between the school and it's alumi. Develop plans for and help host career and networking events. Nominate new members to the board.; Start Date: 03/01/2018; 2 hrs per month; 0 during trading hours. **PRINCIPAL ADVISED SERVICES POSITION POSITION: Investment Adviser Representative NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/03/2023 ADDRESS: 1126 Medan Ct. N, Naples FL 34113, United States DESCRIPTION: Investment Adviser Representative of a Registered Investment Adviser that facilitates investment advice to its customers. Compensation is from combined role with Principal on behalf of the Principal Securities, Principal Bank and Principal Advised Services entities. **PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/01/2025 ADDRESS: 1126 Medan Ct. N, Naples FL 34113, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Elizabeth 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
January 3, 2023 - Present
PRINCIPAL ADVISED SERVICES
RIA
CRD#: 297324
ESTERO, FL
Current
February 26, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 401 Mccullough Dr Ste 210, Charlotte, NC 28262RIA
BD
CRD#: 1137
CHARLOTTE, NC
Past
August 10, 2020 - February 5, 2021
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
NAPLES, FL
Past
August 7, 2020 - February 5, 2021
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
NAPLES, FL
Past
July 19, 2017 - January 23, 2020
MORGAN STANLEY
RIA
CRD#: 149777
PALO ALTO, CA
Past
June 20, 2017 - January 23, 2020
MORGAN STANLEY
BD
CRD#: 149777
PALO ALTO, CA
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".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(3/3/2025)
RR
Colorado(3/3/2025)
RR
Connecticut(3/3/2025)
RR
Florida(2/26/2021)
IAR
Florida(1/3/2023)
RR
Iowa(2/26/2021)
IAR
Iowa(6/24/2024)
RR
Massachusetts(3/3/2025)
RR
Nebraska(3/7/2025)
RR
New Hampshire(3/3/2025)
RR
Oklahoma(3/3/2025)
RR
South Dakota(3/3/2025)
RR
Utah(3/3/2025)
RR
Vermont(3/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
