Francis Dolan is a registered investment advisor at Morgan Stanley, based in Napa, CA, with 37 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
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Location
700 Main Street, Suite 315, Napa, CA, 94559
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Regulatory History (2)
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Customer Dispute
January 2010Denied
Customer Dispute
July 2007Denied
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 Stanley
March 2021 - Present · 5 yrs 2 mos
Morgan StanleyBroker
March 2021 - Present · 5 yrs 2 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
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Exams
No exam information available for this advisor.