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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

ERIC RAY FRANCIS

Advisor at VANGUARD ADVISERS, INC.

Plano, TX

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Search this name across graphsid dfx:ria:1237350e-5716-8196-bc02-365e0cb9ec13

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 4, 2016 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VANGUARD ADVISERS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 15, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Nov 15, 2005
First registration: Nov 4, 2016
Dual registered: yes, broker-dealer
Other names: Eric Francis|Eric R Francis|Eric R Francis
IAPD individual key: 5050458

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Mar 16, 2022	n/a	yes	Plano, TX	Current employment
MORGAN STANLEY	Wirehouse	Oct 7, 2019	Feb 22, 2022	no	SOUTH JORDAN, UT\|Dallas, TX	Previous registration
DENTIST ADVISORS	Independent wealth	Jan 9, 2019	Jan 30, 2019	no	SALT LAKE CITY, UT	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Nov 4, 2016	Jan 8, 2019	no	Brea, CA\|Cottonwood Heights, UT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	VANGUARD ADVISERS, INC.	Feb 22, 2022	Mar 16, 2022	22	Firm change	Wirehouse to ibd
DENTIST ADVISORS	MORGAN STANLEY	Jan 30, 2019	Oct 7, 2019	250	Firm change	RIA to wirehouse
CHARLES SCHWAB & CO., INC.	DENTIST ADVISORS	Jan 8, 2019	Jan 9, 2019	1	Firm change	Ibd to RIA

Relationships

Registered with (4)

→ VANGUARD ADVISERS, INC.Registered adviserregistration: current employment
Mar 16, 2022 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Oct 7, 2019 to Feb 22, 2022factForm ADV
→ DENTIST ADVISORSRegistered adviserregistration: previous registration
Jan 9, 2019 to Jan 30, 2019factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Nov 4, 2016 to Jan 8, 2019factForm ADV

Dated events

Occurred
Feb 22, 2022
Advisor changed firm
Eric Ray Francis left Morgan Stanley for Vanguard Advisers, Inc. (registered 2022-03-16)
Form ADVobserved 3 days ago