FM
FM
Francis Mundwiller
56 Years of Experience
Saint Peters, MO
3 DisclosuresBroker
Francis Mundwiller is a registered investment advisor at Wells Fargo Advisors, based in Saint Peters, MO, with 56 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Loading...
Location
1 Mid Rivers Mall Dr, Ste 258, Saint Peters, MO, 63376
Get directionsHistory
Regulatory History (3)
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
August 2005Settled
Customer Dispute
May 1999Settled
Customer Dispute
April 1999Withdrawn
Other Business Activities
Francis has 100% ownership with their spouse in Smith-Mundwiller Securities LLC since 2003. This takes nearly all of Francis's time.
Employment History
Current Registrations
Wells Fargo Advisors
August 2003 - Present · 22 yrs 9 mos
Wells Fargo Advisors Financial Network, LLCBroker
August 2003 - Present · 22 yrs 9 mos
Previous Registrations
Morgan Stanley
January 2000 - September 2003 · 3 yrs 8 mos
Morgan Stanley Dw INC.Broker
January 1998 - September 2003 · 5 yrs 8 mos
Cibc Oppenheimer CORP.Broker
May 1994 - February 1998 · 3 yrs 9 mos
Stifel, Nicolaus & Company, IncorporatedBroker
November 1969 - June 1994 · 24 yrs 7 mos
State Registrations13 states
ALARCOFLILINKSLAMDMONEOHUT
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.