Nicole Francis
Nicole Francis is a CFP-designated registered investment advisor at Commonwealth Financial Network, based in Brooklyn, NY, with 38 years of industry experience. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 399,450 clients with $210B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Commonwealth Financial Network offers investment management through various programs like PPS Custom, PPS Select, and PPS Direct. Fees are generally calculated as a percentage of your portfolio, including cash and money market positions. The exact fees vary depending on the specific program and the agreement between you and your advisor.
Commonwealth generally offers two types of fee schedules: blended and breakpoint. With a blended schedule, different portions of your portfolio are charged at different rates. With a breakpoint schedule, the fee rate declines as your portfolio value reaches certain levels. All fees are negotiable between the advisor and client.
Location
Brooklyn, NY
Get directionsHistory
Regulatory History (3)
Customer Dispute
October 2007Customer Dispute
November 2003Customer Dispute
March 2002Other Business ActivitiesSells Insurance
Nicole sells fixed insurance as an agent and is a co-trustee for a non-investment client. She also owns MootziMaiden, LLC, a residential rental property, spending about 10-20% of her time on this activity.
Employment History
Current Registrations
Commonwealth Financial Network
Commonwealth Financial Network
Commonwealth Financial NetworkBroker
Previous Registrations
Securities Service Network, INC.Broker
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Chemical Investment Services CORP.Broker
Liberty Securities CorporationBroker
Investacorp, INC.Broker
Fisco Equity, INC.Broker
Monarch Securities, INC.Broker
Oxford Capital Securities, INC.Broker
First Investors CorporationBroker
State Registrations6 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.