Francis Sams is a CFP-designated registered investment advisor, based in Sarasota, FL, with 39 years of industry experience. Francis is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Sarasota, FL
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Francis is a consultant and bookkeeper for his son's photography business, dedicating minimal time. He also buys and resells items on eBay as a sole proprietor, spending a few hours per week.
Employment History
Current Registrations
Alight Financial Advisors, LLC
Alight Financial Solutions, LLCBroker
Alight Financial Solutions, LLC
Previous Registrations
Franklin/templeton Distributors, INC.Broker
Ifg Network Securities, INC.Broker
Fn Investment CenterBroker
Financial Horizons Securities CorporationBroker
Citicorp Investment ServicesBroker
Money Concepts Capital CORPBroker
State Registrations2 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
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