John A. Franzese
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.
John Anthony Franzese, who also goes by John Franzese, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2003. John had worked at 1 firm and has passed the Series 2 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2003 - April 5, 2023
WASI
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
Series 2
Date: 2/1/1996
Non-Member General Securities ExaminationCurrent Firm
WASI
CRD#: 131689 / SEC#: 801-63382
Contact information
Regulatory assets under management
| Total Number of Accounts | 429 |
| AUM (Assets Under Management) | $ 58,970,179 |
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.
