Theodore H. Franse

NI ADVISORS

Fair Oaks, CA

Some features on this profile are disabled

CRD#: 1418012

Professional summary

Theodore Hendrickus Franse, who also goes by Ted H Franse, Ted Hendrickus Franse, Ted Franse, is a registered financial advisor currently at NI ADVISORS located in Fair Oaks, California.

Theodore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Theodore has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ted H Franse | Ted Hendrickus Franse | Ted Franse

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.

(1) 100% OWNER OF DBA 'FRANSE FINANCIAL ADVISORS', CONDUCTING ALL SECURITIES RELATED BUSINESS, INSURANCE SALES OF LTC, HEALTH, DI, AND ADVISORY SERVICES SINCE JUNE 2013. INVESTMENT RELATED. APPROX 100% TIME SPENT ON ACTIVITY. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. (2) 100% OWNER OF RENTAL PROPERTIES IN JENNER CA SINCE 2016 AND KUAI, HAWAII SINCE 2005. NON-INVESTMENT RELATED. 4500 MARTSMITH WAY, FAIR OAKS, CA 95628. OWNER of RENTAL PROPERTIES SINCE 1986. 20 HOURS/MONTH 3 HOURS/MONTH DURING NAI BUSINESS HOURS. PROPERTY MANAGEMENT. (3) PRODUCER UNDER THE NAME: TED H FRANSE. NON-INVESTMENT RELATED. 4500 MARTSMITH WAY, FAIR OAKS, CA 95628. EXECUTIVE PRODUCER SINCE 10/16/2016. 4 HOURS/MONTH 0 HOUR/MONTH DURING NAI BUSINESS HOURS. MAKING SURE THE MOVIE AS WAS IN HIS NEED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Hendrickus Franse's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Theodore Hendrickus Franse's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 24, 2017 - Present

NI ADVISORS

RIA

CRD#: 134502

Fair Oaks, CA

Current

August 23, 2017 - Present

NI ADVISORS

RIA

CRD#: 134502

Fair Oaks, CA

Past

May 2, 2017 - July 6, 2017

COLONY PARK FINANCIAL SERVICES LLC.

RIA

CRD#: 41534

Fair Oaks, CA

Past

April 13, 2017 - July 6, 2017

SANDLAPPER SECURITIES, LLC

CRD#: 137906

GREENVILLE, SC

Past

July 3, 2013 - April 11, 2017

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

FAIR OAKS, CA

Past

July 3, 2013 - April 11, 2017

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

FAIR OAKS, CA

Past

July 2, 2012 - July 30, 2013

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

FAIR OAKS, CA

Past

February 22, 2006 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

FAIR OAKS, CA

Past

February 15, 2006 - July 11, 2013

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

FAIR OAKS, CA

Past

October 31, 2005 - February 17, 2006

OSAIC SERVICES, INC.

RIA

CRD#: 133763

FAIR OAKS, CA

Past

October 31, 2005 - February 17, 2006

OSAIC SERVICES, INC.

CRD#: 133763

FAIR OAKS, CA

Past

June 16, 2000 - October 31, 2005

SUNAMERICA SECURITIES, INC.

RIA

CRD#: 20068

FAIR OAKS, CA

Past

July 9, 1997 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

October 21, 1985 - August 28, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(11/22/2017)

California
(8/23/2017)

IAR

California
(8/24/2017)

Florida
(3/4/2021)

Hawaii
(11/16/2018)

Idaho
(4/29/2019)

Nevada
(12/1/2017)

South Carolina
(5/17/2021)

Texas
(1/27/2020)

Washington
(8/20/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/12/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/1/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/18/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 7/7/2008

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/15/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 9/8/1997

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

NI ADVISORS

CRD#: 134502 / SEC#: , 8-66841

California

Registered Investment Advisory firm - SEC (5/23/2012 Approved)

Colorado

Registered Investment Advisory firm - SEC (7/29/2022 Approved)

Florida

Registered Investment Advisory firm - SEC (4/9/2024 Approved)

Massachusetts

Registered Investment Advisory firm - SEC (1/4/2023 Approved)

New Jersey

Registered Investment Advisory firm - SEC (1/11/2023 Approved)

Rhode Island

Registered Investment Advisory firm - SEC (2/11/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (2/25/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1138 Cadillac Court, Milpitas, CA 95035-3058

Mailing Address

1138 Cadillac Court, Milpitas, CA 95035

Phone number

(510) 306-7777

Established

California since 01/01/2005

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (34 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
GOY, SUIHOCK	PRESIDENT, CFO, DIRECTOR, CHIEF COMPLIANCE OFFICER	2821380
POSTREL, HELENE BERSON	FINOP	2240945

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 3,560,000

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Theodore H. Franse

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Hendrickus Franse's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Theodore Hendrickus Franse's CRS (Customer Relationship Summary).

Certified licenses

Experience

NI ADVISORS

COLONY PARK FINANCIAL SERVICES LLC.

SANDLAPPER SECURITIES, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/1999

Series 63

Date: 5/1/1997

SIE

Date: 10/1/2018

Series 7

Date: 2/16/2000

Series 6

Date: 10/18/1985

Series 51

Date: 7/7/2008

Series 24

Date: 5/15/2000

Series 26

Date: 9/8/1997

FINRA

Current Firm

NI ADVISORS

Contact information

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

NI ADVISORS

TRUST BUT VERIFY

Similar Advisors