James P. Conn
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.
James Patrick Conn JR, who also goes by James Patick Conn, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 4 firms and has passed the Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2002 - December 22, 2014
FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC.
January 16, 1997 - October 31, 2006
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
January 1, 1997 - December 31, 1996
RFS PARTNERS
December 31, 1996 - December 31, 1996
RFS PARTNERS
February 27, 1992 - August 16, 1993
GKB, INC.
April 7, 1988 - December 13, 1991
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
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
FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC.
CRD#: 111372 / SEC#: 801-13802
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 5,606 |
| AUM (Assets Under Management) | $ 6,258,319,028 |
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.
