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Michael John Francis

Francis LLC

Brookfield, WI

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Current Employers
Francis Llc

19435 W. Capitol Drive, Brookfield, WI 53045 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2015-11-25
  • WI RA
    APPROVED
    Since 2015-11-25

Branch Locations

19435 W. Capitol Drive, Brookfield, WI 53045 • 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
Salomon Smith Barney Inc. Milwaukee WI 07/1993 Present
Francis Investment Counsel Llc Brookfield WI 03/2004 Present
  • 07/1993 → Present
    Salomon Smith Barney Inc.
    Milwaukee, WI
  • 03/2004 → Present
    Francis Investment Counsel Llc
    Brookfield, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-05-07
S63 Uniform Securities Agent State Law Examination 1984-11-28
  • S65 Uniform Investment Adviser Law Examination
    1992-05-07
  • S63 Uniform Securities Agent State Law Examination
    1984-11-28

View on SEC IAPD

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ANNEX WEALTH MANAGEMENT, LLC · BROOKFIELD, WI
RBC CAPITAL MARKETS, LLC · BROOKFIELD, WI
MARINER · BROOKFIELD, WI
M HOLDINGS SECURITIES, INC. · Brookfield, WI
STATE FARM INVESTMENT MANAGEMENT CORP. · Brookfield, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Brookfield, WI
ENTASIS ASSET MANAGEMENT LLC · Brookfield, WI
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · BROOKFIELD, WI

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