Spencer R. Francis

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CRD#: 7118064

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Spencer Robert Francis, who also goes by Spencer Francis, was a registered financial professional .

Spencer is a previously registered financial professional and started their career in finance in 2019. Spencer had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Spencer 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 2, 2025 - October 15, 2025

FRANCIS LLC

RIA

CRD#: 130687

Brookfield, WI

Past

November 5, 2024 - January 24, 2025

STARTENGINE PRIMARY LLC

CRD#: 291773

BURBANK, CA

Past

December 6, 2022 - November 1, 2024

LINQTO CAPITAL

CRD#: 314557

NEW YORK, NY

Past

March 15, 2022 - September 14, 2022

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Past

August 22, 2019 - March 2, 2022

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

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".

FRANCIS LLC

FRANCIS INVESTMENT COUNSEL LLC | FRANCIS LLC | FRANCIS INVESTMENT COUNSEL, LLC

CRD#: 130687 / SEC#: 801-62841

RIA

Registered Investment Advisory firm - (3/12/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 4/2/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/30/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/24/2022

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 8/22/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 6/29/2019

Securities Industry Essentials Examination

Current Firm

FRANCIS LLC

FRANCIS INVESTMENT COUNSEL LLC | FRANCIS LLC | FRANCIS INVESTMENT COUNSEL, LLC

CRD#: 130687 / SEC#: 801-62841

RIA

Registered Investment Advisory firm - (3/12/2004 Approved)

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Contact information

Main Address

19435 W. Capitol Drive, Brookfield, WI 53045

Mailing Address

Phone number

(866) 232-6457

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FRANCIS LLC ADV PART 2A&B (3/31/2025)

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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Firm Stability Insights

Spencer R. Francis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STARTENGINE PRIMARY LLC

LINQTO CAPITAL

JANUS HENDERSON DISTRIBUTORS US LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Primary Firm SEC Registration

FRANCIS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/2/2025

Series 63

Date: 8/30/2019

Series 7TO

Date: 3/24/2022

Series 6TO

Date: 8/22/2019

SIE

Date: 6/29/2019

Current Firm

FRANCIS LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

FRANCIS LLC

TRUST BUT VERIFY

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