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Adviser and broker representative · Commonwealth Financial Network

Nicole Francis

CRD 1685116 · New York, NY

At a glance

Nicole Francis is an investment adviser representative with Commonwealth Financial Network in New York, NY, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Nicole’s SEC record dates to 1997, about 29 years ago. Nicole is also registered as a broker representative. Designations on file: Certified Financial Planner.

Current advisory firm

SEC adviser record

Registered since
1997 (29 years)
Designations
Certified Financial Planner
Exams
Series 63, Series 65
Registered in
2 states
Also a broker representative
Yes
Disclosures on record
Yes, see the SEC record

AtlasMembers

Nicole’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
Locked
Previous firms, with start and end dates
1 firmLocked
Employment history
Locked
States they’re registered in
Locked
Outside business activities
Locked
When they joined their current firm, and their firm’s growth
Locked
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.

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