Nicole Francis

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 06/2005 → 11/2017
  Securities Service Network, Inc.
  New York, NY
• 06/2005 → 10/2017
  Ssn Advisory, Inc.
  New York, NY
• 11/2017 → Present
  Commonwealth Financial Network
  Waltham, MA

Previous Registrations

• 1997-08-12 → 2005-06-22
  Chase Investment Services Corp.
  New York, NY

Other Businesses

1. Fixed insurance sales, as an Agent; Conducted at branch; Investment related. 2. Co-trustee for non-investment client; Conducted at branch; Not investment related. 2. Owner, MootziMaiden, LLC, a private entity est. to own and manage a residential rental property located in 30 Maiden Lane, Kingston, NY 12401; As of 09/24/19; 5% time spent during regular business hours; Conducted at branch; Investment related. 3. Owner, Hudson Advisory Group, LLC; a private entity established to facilitate securities, advisory, and insurance business; Located in New York, NY 10001; as of 04/01/2005; 98% of time spent during business hours; Conducted at branch; Investment related. 4. Owner, MootziManse, LLC; an entity created for the purpose of buying and managing residential real estate at 257 East 19th Street, Brooklyn, NY 11226, as of 7/01/2026; 2% of time spent during business hours; Not Conducted at branch; Investment related.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-08-02
• S63 Uniform Securities Agent State Law Examination
  1987-07-16

Designations

• Certified Financial Planner