Unclaimed Profile

Octave Joseph Francis

FRANCIS FINANCIAL GROUP, LLC·NEW ORLEANS, Louisiana

SIE, Series 6, Series 7, Series 24, Series 50, Series 52TO, Series 53, Series 63, Series 65, Series 99TO19 years registeredFRANCIS FINANCIAL GROUP, LLC

400 POYDRAS STREET, NEW ORLEANS, LA 70130CRD# 1590513Firm CRD# 113205

Profile Verification

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

Identity

Octave Joseph Francis · NEW ORLEANS, LA

Registration

CRD #1590513 · FRANCIS FINANCIAL GROUP, LLC · 19 years registered

Brand Profile

Not yet started

Career History

RAYMOND JAMES & ASSOCIATES, INC.

Mar 2018 – present

FFC CAPITAL MANAGEMENT

Sep 2006 – Nov 2018

NEW ORLEANS, LA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 50

Series 52TO

Series 53

Series 63

Series 65

Series 99TO

Registration record

First registered · September 22, 2006

Years registered · 19

Disclosure History

2001Customer Dispute·Denied

1999Regulatory·Final

1990Regulatory·Final

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

FRANCIS FINANCIAL GROUP, LLC

CRD 113205 · SEC 801-62828

AUM

$430M

Regulatory assets under management

Employees

144 client accounts

Services offered by FRANCIS FINANCIAL GROUP, LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

Nonprofits & Foundations

View all advisors at FRANCIS FINANCIAL GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does Octave Joseph Francis offer?

Octave Joseph Francis specializes in Investment Management, Wealth Management. Contact their office in NEW ORLEANS, Louisiana for a consultation.

What are Octave Joseph Francis's credentials?

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

Where is Octave Joseph Francis located?

Octave Joseph Francis is based in NEW ORLEANS, Louisiana, working with FRANCIS FINANCIAL GROUP, LLC. Their office serves clients in the NEW ORLEANS metropolitan area and surrounding communities.

How does Octave Joseph Francis charge for services?

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

How large is FRANCIS FINANCIAL GROUP, LLC?

FRANCIS FINANCIAL GROUP, LLC has approximately 4 employees and manages $430M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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