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Detailed Report
PATRICK DEAN FRANCISCO
CRD#: 1406350
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 742 E. SUPERIOR ST
DULUTH, MN 55802
CETERA ADVISOR NETWORKS LLCCRD#: 13572 742 E. SUPERIOR ST
DULUTH, MN 55802
Registration History
198519901995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2010 - Present (14 years)BWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2006 - 2010 (4 years)BTOWER SQUARE SECURITIES, INC. (CRD# 833)2003 - 2006 (2 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)1999 - 2003 (3 years)BGUARDIAN INVESTOR SERVICES COR... (CRD# 6635)1993 - 1999 (6 years)BCAPITAL MANAGEMENT SECURITIES,... (CRD# 10579)1990 - 1993 (2 years)BAEGIS INVESTMENTS, INC. (CRD# 16033)1989 - 1990 (1 year)BB.C. CHRISTOPHER SECURITIES CO. (CRD# 60)1988 - 1989 (<1 year)BMORISON SECURITIES, INC. (CRD# 8097)1985 - 1988 (3 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2014 - 2023 (9 years)
Disclosure(s)
View By:
4/24/2024
Customer Dispute
Denied
3/21/2001
Customer Dispute
Withdrawn
License(s)

State Registrations

B
Alaska 10/22/2010
B
Minnesota 10/22/2010
B
Arizona 8/26/2015
IA
Minnesota 6/29/2023
B
Colorado 1/3/2011
B
North Carolina 3/12/2012
B
Connecticut 6/16/2014
B
North Dakota 12/13/2016
B
Florida 10/22/2010
B
Texas 7/15/2021
B
Illinois 1/3/2024
IA
Texas 6/29/2023
B
Indiana 3/9/2012
B
Virginia 10/25/2019
B
Iowa 7/25/2012
B
Wisconsin 10/22/2010

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
742 E. SUPERIOR ST, DULUTH, MN 55802
Registered with this firm since 6/29/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
742 E. SUPERIOR ST, DULUTH, MN 55802
Registered with this firm since 10/22/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/08/2014 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) DULUTH, MN
B
 02/03/2006 - 10/28/2010 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) DULUTH, MN
B
 04/10/2003 - 02/17/2006 TOWER SQUARE SECURITIES, INC. (CRD#:833) EL SEGUNDO, CA
B
 05/03/1999 - 04/25/2003 PARK AVENUE SECURITIES LLC (CRD#:46173) NEW YORK, NY
B
 04/27/1993 - 05/03/1999 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) NEW YORK, NY
B
 07/13/1990 - 04/20/1993 CAPITAL MANAGEMENT SECURITIES, INC. (CRD#:10579) MINNEAPOLIS, MN
B
 01/05/1989 - 07/24/1990 AEGIS INVESTMENTS, INC. (CRD#:16033) ST LOUIS PARK, MN
B
 12/23/1988 - 01/19/1989 B.C. CHRISTOPHER SECURITIES CO. (CRD#:60)
FINRA expelled the firm on 02/16/1993
B
 10/08/1985 - 12/23/1988 MORISON SECURITIES, INC. (CRD#:8097)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.