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JF

James E. Franklin

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CRD#: 1235262
JF

Professional summary

James Everett Franklin was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, James had worked at 4 firms, which includes TERRAN SECURITIES INC., HAMILTON BOHNER INC., GRAYSTONE NASH INC., J. W. WELLER & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 4, 1989 - June 12, 1989

TERRAN SECURITIES, INC.

BD
CRD#: 17783
Past

September 20, 1985 - March 17, 1987

HAMILTON BOHNER, INC.

BD
CRD#: 14774
Past

May 2, 1984 - May 17, 1985

GRAYSTONE NASH, INC.

BD
CRD#: 10635
Past

February 24, 1984 - April 26, 1984

J. W. WELLER & CO., INC.

BD
CRD#: 6106

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/13/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/18/1984
General Securities Representative Examination

Current Firm

TS
TERRAN SECURITIES, INC.
ELTON JOHNSON SECURITIES | WESTERN RESERVE SECURITIES, INC. | TERRAN SECURITIES, INC. | FAR WEST SECURITIES

CRD#: 17783 / SEC#: , 8-40082

BD
Expelled by FINRA on 11/12/1991
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 12/02/1987
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

TERRAN SECURITIES, INC.

CRD#: 17783

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