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Francis Dolan

Morgan Stanley
37 Years of Experience
Napa, CA
2 DisclosuresBroker
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Francis Dolan is a registered investment advisor at Morgan Stanley, based in Napa, CA, with 37 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, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.

Morgan Stanley
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23172 advisors
Number of Clients
2,703,720 clients
Average Client Portfolio
$726K average
Assets Under Management
$1961.9B

Fee Structure

Investment management only (planning not offered)

Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.

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Location

700 Main Street, Suite 315, Napa, CA, 94559

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History

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
January 2010
Denied
Customer Dispute
July 2007
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Francis is a member of a family-held LLC for a vacation home, dedicating minimal time annually. He is also a board member, finance committee member, and treasurer for Collabria Care, a medical organization, spending minimal time per week on business development and growth.

Employment History
Current Registrations
Morgan StanleyBroker
March 2021 - Present · 5 yrs 7 mos
Morgan Stanley
March 2021 - Present · 5 yrs 7 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - March 2021 · 11 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - March 2021 · 11 yrs 5 mos
Banc of America Investment Services, INC.Broker
July 1999 - October 2009 · 10 yrs 3 mos
Banc of America Investment Services, INC.
September 1998 - October 2009 · 11 yrs 1 mo
Ba Investment Services, INC.Broker
September 1995 - July 1999 · 3 yrs 10 mos
American Capital Marketing, INC.Broker
December 1993 - December 1994 · 1 yr
Glenfed Brokerage ServicesBroker
July 1992 - December 1993 · 1 yr 5 mos
Stephens INC.Broker
November 1990 - July 1992 · 1 yr 8 mos
Equitec Securities CompanyBroker
August 1989 - December 1990 · 1 yr 4 mos
Franklin Distributors, INC.Broker
May 1987 - November 1988 · 1 yr 6 mos
State Registrations11 states
AZCAFLIDNCNVNYPATNTXWA
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.
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