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Detailed Report
Scott Clifton Francis
SCOTT C FRANCIS, SCOTT FRANCIS
CRD#: 5537436
IA
Investment Adviser
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Previous Broker
HFG WEALTH MANAGEMENT, LLCCRD#: 148406 1790 HUGHES LANDING BLVD
SUITE 575
THE WOODLANDS, TX 77380
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2009 (<1 year)2 FIRMS2013 - 2016 (3 years)2 FIRMS2016 - 2023 (6 years)2 FIRMS2023 - 2024 (1 year)IAHFG WEALTH MANAGEMENT, LLC (CRD# 148406)2024 - Present (<1 year)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2009 - 2013 (3 years)IABBVA WEALTH SOLUTIONS INC. (CRD# 110476)2010 - 2012 (1 year)IAST JOHNS WEALTH MANAGEMENT (CRD# 105564)2010 - 2010 (<1 year)
License(s)

State Registrations

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Texas 5/23/2024
Current Registration(s)
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HFG WEALTH MANAGEMENT, LLC (CRD#:148406)
1790 HUGHES LANDING BLVD SUITE 575, THE WOODLANDS, TX 77380
Registered with this firm since 5/23/2024
Previous Registration(s)
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 01/27/2023 - 05/28/2024 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Huntsville, TX
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 01/27/2023 - 05/28/2024 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Huntsville, TX
IA
 09/27/2016 - 01/31/2023 EDWARD JONES (CRD#:250) HUNTSVILLE, TX
B
 09/23/2016 - 01/31/2023 EDWARD JONES (CRD#:250) HUNTSVILLE, TX
IA
 10/09/2013 - 09/15/2016 BBVA WEALTH SOLUTIONS INC. (CRD#:110476) HUNTSVILLE, TX
B
 05/16/2013 - 09/15/2016 BBVA SECURITIES INC. (CRD#:27060) HUNTSVILLE, TX
B
 06/11/2009 - 05/16/2013 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) HUNTSVILLE, TX
IA
 10/15/2010 - 08/06/2012 BBVA WEALTH SOLUTIONS INC. (CRD#:110476) HOUSTON, TX
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 06/10/2010 - 10/15/2010 ST JOHNS WEALTH MANAGEMENT (CRD#:105564) LIVINGSTON, TX
IA
 08/13/2008 - 03/06/2009 EDWARD JONES (CRD#:250) MONTGOMERY, TX
B
 07/21/2008 - 03/06/2009 EDWARD JONES (CRD#:250) MONTGOMERY, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.