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David Karl Francis

Morgan Stanley

Mequon, WI

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-02-19
WI RA APPROVED 2021-02-19
  • TX RA
    APPROVED
    Since 2021-02-19
  • WI RA
    APPROVED
    Since 2021-02-19

Branch Locations

11501 North Port Washington, Mequon, WI 53092 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Mequon WI 08/2012 02/2021
Bank Of America, N.A Mequon WI 11/2012 02/2021
Morgan Stanley Smith Barney Llc Mequon WI 02/2021 Present
Morgan Stanley Private Bank, N.A New York NY 05/2021 Present
  • 08/2012 → 02/2021
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Mequon, WI
  • 11/2012 → 02/2021
    Bank Of America, N.A
    Mequon, WI
  • 02/2021 → Present
    Morgan Stanley Smith Barney Llc
    Mequon, WI
  • 05/2021 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-05-06
S63 Uniform Securities Agent State Law Examination 1987-05-26
  • S65 Uniform Investment Adviser Law Examination
    1992-05-06
  • S63 Uniform Securities Agent State Law Examination
    1987-05-26
Designations
Other Names
  • David K Francis

View on SEC IAPD

Other Firms

STIFEL, NICOLAUS & COMPANY, INCORPORATED
LPL FINANCIAL LLC
CHARLES SCHWAB & CO., INC.
OSAIC WEALTH, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
REINHART PARTNERS, LLC
MADISON INVESTMENT ADVISORS, LLC

Other Investors

WAYNE SPENCER FRANK
MELINDA AGNES WACKER
Blake Jalovec
WILLIAM GERARD MORSE
JUDITH K SCHULTZ
MICHAEL ALAN KRAMER
DANIEL JAY AIKEN
ANDREW MICHAEL WIZIARDE

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · MEQUON, WI
LPL FINANCIAL LLC · MEQUON, WI
CHARLES SCHWAB & CO., INC. · Mequon, WI
OSAIC WEALTH, INC. · MEQUON, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Mequon, WI
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MEQUON, WI
REINHART PARTNERS, LLC · MEQUON, WI
MADISON INVESTMENT ADVISORS, LLC · MEQUON, WI

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