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JW

John B. Walker

FRANKLIN DISTRIBUTORS
San Mateo, CA 94403-1906
Some features on this profile are disabled
CRD#: 1885000
JW

Professional summary

John Bradford Walker, who also goes by Jb Walker, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in San Mateo, California.

John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jb Walker

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 John Bradford Walker'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: One Franklin Parkway, San Mateo, CA 94403-1906
BD
CRD#: 109064
San Mateo, CA
Past

September 27, 2019 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
SAN MATEO, CA
Past

December 13, 2004 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

July 23, 1999 - December 6, 2004

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

October 22, 1998 - June 25, 1999

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

November 27, 1995 - March 5, 1998

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 31, 1993 - November 16, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 24, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

June 5, 1990 - April 15, 1992

ROSE SECURITIES CORPORATION

BD
CRD#: 20573
Past

October 19, 1988 - November 27, 1989

JRL CAPITAL CORPORATION

BD
CRD#: 10225
IRVINE, CA

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
California
(7/7/2021)
RR
Connecticut
(1/5/2022)
RR
Florida
(1/5/2022)
RR
Idaho
(1/2/2025)
RR
Massachusetts
(1/17/2024)
RR
New York
(1/5/2022)
RR
Oregon
(1/2/2025)
RR
Washington
(1/2/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/22/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/6/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
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#: 109064San Mateo, CA 94403-1906

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