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Arthur King Francis

LPl Financial LLC

Pittsfield, MA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2026-01-29
TX RA APPROVED 2026-01-09
  • MA RA
    APPROVED
    Since 2026-01-29
  • TX RA
    APPROVED
    Since 2026-01-09

Branch Locations

66 West Street 4Th, Pittsfield, MA 01201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Financial Network Llc Pittsfield MA 05/2009 01/2026
Lpl Financial Llc Pittsfield MA 01/2026 Present
Previous Registrations
Other Businesses

1- 11/2025 / Francis Investment Consulting Group / DBA for LPL Business (entity for LPL business) / INV RLTD / 160 HRS MNTH / 8 HRS DURING TRADING / AT RPRT LOC / START 09/06/2005

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-15
S63 Uniform Securities Agent State Law Examination 1985-05-04
  • S65 Uniform Investment Adviser Law Examination
    1999-12-15
  • S63 Uniform Securities Agent State Law Examination
    1985-05-04

View on SEC IAPD

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