Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Philip Burdette Francois
Phil Francois, Philip Francois
CRD#: 6432808
IA
Investment Adviser
B
Previous Broker
NECTARINECRD#: 327155 Salinas, KS
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2020 (5 years)IANECTARINE (CRD# 327155)2024 - Present (<1 year)IAFOUNDATION WEALTH PLANNING (CRD# 313197)2021 - Present (3 years)
License(s)

State Registrations

IA
California 1/30/2025
IA
Texas 4/9/2024
IA
Kansas 6/24/2021
Current Registration(s)
IA
NECTARINE (CRD#:327155)
Salinas, KS
Registered with this firm since 4/9/2024
IA
FOUNDATION WEALTH PLANNING (CRD#:313197)
2035 E IRON AVE SUITE #2, SALINA, KS 67401
Registered with this firm since 6/24/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/23/2015 - 09/18/2020 EDWARD JONES (CRD#:250) KANSAS CITY, MO
B
 02/04/2015 - 09/18/2020 EDWARD JONES (CRD#:250) KANSAS CITY, MO
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.