James E. Franklin
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 Edward Franklin II, who also goes by Jim Franklin II, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2019 - May 16, 2025
SYMETRA SECURITIES, INC.
December 5, 2017 - January 2, 2019
ICON DISTRIBUTORS, INC.
July 16, 2014 - September 14, 2017
TRANSAMERICA CAPITAL, LLC
June 9, 2014 - July 11, 2014
COREBRIDGE CAPITAL SERVICES, INC.
December 11, 2004 - May 14, 2014
METLIFE INVESTORS DISTRIBUTION COMPANY
May 1, 2001 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
December 18, 1997 - May 1, 2001
METLIFE INVESTORS SALES COMPANY
March 16, 1993 - July 21, 1997
CAPITAL BROKERAGE CORPORATION
March 8, 1991 - February 8, 1993
INVEST FINANCIAL CORPORATION
February 13, 1990 - February 14, 1991
IDS LIFE INSURANCE COMPANY
February 13, 1990 - February 14, 1991
AMERIPRISE FINANCIAL SERVICES, 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
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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