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AC

Allen G. Carr

FRANKLIN DISTRIBUTORS
Baltimore, MD 21231
Some features on this profile are disabled
CRD#: 1510030
AC

Professional summary

Allen Giles Carr is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Baltimore, Maryland.

Allen is registered as a RR (Registered Representative) and started their career in finance in 1986. Allen has worked at 9 firms and has passed the Series 63, Series 66, Series 7 and Series 8 exams.

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) - BD

Click below to view Allen Giles Carr'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

July 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 1201 Wills Street, Baltimore, MD 21231
BD
CRD#: 109064
Baltimore, MD
Past

May 27, 2020 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
SAN MATEO, CA
Past

January 6, 2014 - May 12, 2016

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

September 28, 2011 - November 18, 2013

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

January 3, 2011 - February 18, 2011

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
SAN FRANCISCO, CA
Past

December 12, 2008 - November 10, 2009

J.P. MORGAN INVESTMENT MANAGEMENT INC.

RIA
CRD#: 107038
NEW YORK, NY
Past

June 14, 2007 - January 3, 2011

JPMORGAN DISTRIBUTION SERVICES, INC.

BD
CRD#: 104234
COLUMBUS, OH
Past

October 29, 2004 - April 17, 2007

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
SAN FRANCISCO, CA
Past

June 14, 1989 - April 17, 2007

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
SAN FRANCISCO, CA
Past

July 23, 1986 - May 6, 1989

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

RR
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

RR
Alaska
(7/7/2021)
RR
California
(7/7/2021)
RR
Connecticut
(1/2/2024)
RR
Florida
(1/3/2024)
RR
Hawaii
(7/7/2021)
RR
Idaho
(7/7/2021)
RR
Massachusetts
(1/3/2024)
RR
Nevada
(7/7/2021)
RR
New York
(1/2/2024)
RR
Oregon
(7/7/2021)
RR
Washington
(7/7/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/2/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/28/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/28/1995
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

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

Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
GAMBA, DANIEL ERNESTOCHIEF EXECUTIVE OFFICER4594704
MASOM, JEFFREY SCOTTPRESIDENT-DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546

Disclosures

Regulatory Event1

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

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064Baltimore, MD 21231

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