Unclaimed Profile

Francis Daniel Ertel

ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC·PETALUMA, California

SIE, Series 6, Series 7, Series 24, Series 63, Series 65, Series 66Clean record19 years registeredONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC

2090 MARINA AVENUE, PETALUMA, CA 94954CRD# 2136249Firm CRD# 162143

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Francis Daniel Ertel · PETALUMA, CA

Registration

CRD #2136249 · ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC

ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC

Jun 2012 – Sep 2017

PETALUMA, CA

CCO INVESTMENT SERVICES CORP.

Jul 2010 – Mar 2012

HOLYOKE, MA

SII INVESTMENTS, INC.

Aug 2007 – Jul 2010

MILFORD, MA

MULTI-FINANCIAL SECURITIES CORPORATION

Jul 2007 – Aug 2007

PETALUMA, CA

LEGACY ADVISORY SERVICES, INC.

Jul 2007 – Jul 2007

PETALUMA, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 63

Series 65

Series 66

Registration record

First registered · July 9, 2007

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC

CRD 162143 · SEC 801-76773

AUM

$29M

Regulatory assets under management

Employees

321 client accounts

Services offered by ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC →

Introduction

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Frequently Asked Questions

What services does Francis Daniel Ertel offer?

Francis Daniel Ertel specializes in Financial Planning, Investment Management.

What are Francis Daniel Ertel's credentials?

Francis Daniel Ertel is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Francis Daniel Ertel located?

Francis Daniel Ertel is based in PETALUMA, California, last registered with ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC.

How does Francis Daniel Ertel charge for services?

Francis Daniel Ertel's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC?

ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC has approximately 2 employees and manages $29M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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