Richard B. Franz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Bonafield Franz II, who also goes by Rick Franz II, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 9 firms and has passed the SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2013 - May 5, 2016
MORGAN KEEGAN & COMPANY, LLC
May 6, 2011 - September 16, 2013
HOWE BARNES HOEFER & ARNETT, INC.
June 26, 2009 - December 31, 2016
RAYMOND JAMES INSURANCE GROUP, INC.
July 13, 2006 - July 27, 2016
CARILLON FUND DISTRIBUTORS, INC.
January 27, 2003 - December 31, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 8, 1997 - January 18, 2019
RAYMOND JAMES & ASSOCIATES, INC.
April 1, 1991 - December 3, 1997
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 16, 1988 - April 1, 1991
PW SECURITIES, INC.
July 11, 1986 - June 14, 1988
AMHERST INVESTMENT COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
