David Francis is a CFP-designated registered investment advisor at Morgan Stanley, based in Mequon, WI, with 38 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
11501 North Port Washington, Mequon, WI, 53092
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan StanleyBroker
February 2021 - Present · 5 yrs 3 mos
Morgan Stanley
February 2021 - Present · 5 yrs 3 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2012 - February 2021 · 8 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2012 - February 2021 · 8 yrs 6 mos
Wells Fargo Advisors, LLCBroker
May 2002 - September 2012 · 10 yrs 4 mos
Wells Fargo Advisors, LLC
May 2002 - September 2012 · 10 yrs 4 mos
Salomon Smith Barney INC.Broker
July 1993 - May 2002 · 8 yrs 10 mos
Lehman Brothers INC.Broker
January 1990 - July 1993 · 3 yrs 6 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1987 - December 1989 · 2 yrs 7 mos
State Registrations16 states
AZCACOFLILINMAMDMNNCOHPATXVAWIWV
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.