Francis Mitchell
Francis Mitchell is a registered investment advisor at Osaic Wealth, INC., based in Pt St Lucie, FL, with 39 years of industry experience. Francis is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 5 more. Their firm serves 575,512 clients with $230B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers several investment management programs where fees are charged as an annual percentage of your portfolio, typically billed monthly or quarterly. Because individual financial professionals negotiate their own fee schedules and programs vary by platform, exact rates depend on the specific account type and manager selected.
- Advisor Managed Portfolios and Unified Managed Account Programs — Fees vary based on negotiations with your financial professional and the specific asset allocation models or third-party managers chosen.
- Plan Participant Retirement Program — Annual management fees charge up to 3.00% of your account assets, structured as a fixed percentage or a tiered fee schedule.
- Program Annuities — Annual advisory fees for managing outside annuities will not exceed 1.50% of program assets for new accounts.
Account minimums vary widely by program, ranging from $5,500 to $10,000 for certain automated or platform accounts, while other programs depend on the specific investment product or third-party manager.
Location
Pt St Lucie, FL
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Regulatory History (6)
Judgment / Lien
February 2020Customer Dispute
May 2016Judgment / Lien
February 2014Judgment / Lien
September 2010Customer Dispute
March 2003Customer Dispute
December 1999Other Business ActivitiesSells Insurance
Francis sells insurance products through Crump since 2015. He also has an investment advisory business with APA since 2015.
Employment History
Current Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
American Portfolios Advisors, INC
American Portfolios Financial Services, INC.Broker
Southeast Investments, N.c., INC.Broker
David Lerner Associates, INC.Broker
H&r Block Financial Advisors, INC.
H&r Block Financial Advisors, INC.Broker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations3 states
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
More Advisors
- Howard RothsteinOsaic Wealth, INC.