SL
Shweta Lawande
FRANCIS FINANCIAL
New York, NY 10006
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CRD#: 7405162
SL
Professional summary
Shweta Lawande is a registered financial advisor currently at FRANCIS FINANCIAL located in New York, New York.
Shweta is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Shweta has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Shweta Lawande'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
July 23, 2021 - Present
FRANCIS FINANCIAL
Office #1: 39 Broadway Suite 1730, New York, NY 10006RIA
CRD#: 128067
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".
FRANCIS FINANCIAL
FRANCIS FINANCIAL | FRANCIS FINANCIAL, INC.
CRD#: 128067 / SEC#: 801-76703
RIA
Registered Investment Advisory firm - (6/7/2012 Approved)New Jersey
Registered Investment Advisory firm - (6/14/2012 Terminated)New York
Registered Investment Advisory firm - (10/30/2012 Terminated)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(7/23/2021)
Exams
Current Firm
FRANCIS FINANCIAL
FRANCIS FINANCIAL | FRANCIS FINANCIAL, INC.
CRD#: 128067 / SEC#: 801-76703
RIA
Registered Investment Advisory firm - (6/7/2012 Approved)New Jersey
Registered Investment Advisory firm - (6/14/2012 Terminated)New York
Registered Investment Advisory firm - (10/30/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
39 Broadway Suite 1730, New York, NY 10006
Mailing Address
Phone number
(212) 374-9008
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,014 |
| AUM (Assets Under Management) | $ 680,293,776 |
Red Flags
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