Anthony Timothy Francis

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2001 → Present
  A Francis And Associates
  New York, NY
• 09/2013 → 06/2024
  Securities America, Inc.
  New York, NY
• 09/2013 → 06/2024
  Securities America Advisors, Inc.
  New York, NY
• 06/2024 → Present
  Osaic Wealth, Inc.
  New York, NY
• 06/2024 → Present
  Osaic Wealth, Inc.
  New York, NY

Previous Registrations

• 2021-10-07 → 2024-06-14
  Securities America Advisors, Inc.
  New York, NY

Other Businesses

1. INSURANCE POSITION: sales NATURE: INSURANCE SALES - AGENT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2012 ADDRESS: 14 Penn Plaza, 225 W 34th St, Ste 941, NEW YORK NY 10122 DESCRIPTION: Providing health insurance, life insurance, and annuities to clients that need them. 2. A FRANCIS AND ASSOCIATES INC POSITION: Owner/ Operator NATURE: An Accounting Firm that handles income taxes, payroll, sales tax, and bookkeeping. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 08/27/2001 ADDRESS: 14 Penn Plaza, 225 West 34th Street, Suite 941, New York NY 10122, United States DESCRIPTION: Income tax, Bookkeeping, Sales Tax, and Payroll preparation.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-21
• S63 Uniform Securities Agent State Law Examination
  1998-07-06