FV
FV
Francis Venezia
43 Years of Experience
Poughkeepsie, NY
2 DisclosuresBroker
Francis Venezia is a registered investment advisor at Morgan Stanley, based in Poughkeepsie, NY, with 43 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...
Location
Beechwood Office Park., 2678 South Road, Poughkeepsie, NY, 12601
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2008Settled
Customer Dispute
February 2002Denied
Other Business Activities
Francis is a contractor for Good Shepherd Church, providing labor and services. This takes a few hours per week.
Employment History
Current Registrations
Morgan Stanley
March 2012 - Present · 14 yrs 2 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
April 1988 - July 1993 · 5 yrs 3 mos
E. F. Hutton & Company INCBroker
May 1984 - April 1988 · 3 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1982 - March 1984 · 1 yr 8 mos
State Registrations38 states
ARAZCACOCTDCDEFLGAIDILINLAMAMDMEMIMNMOMTNCNHNJNMNVNYOHOKORPARISCTXUTVAVTWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.