Leah N. Mizer

FRANKLIN DISTRIBUTORS

Baltimore, MD 21231

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CRD#: 2135864

Professional summary

Leah Nanette Mizer is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Baltimore, Maryland.

Leah is registered as a RR (Registered Representative) and started their career in finance in 2000. Leah has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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 Leah Nanette Mizer'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

September 16, 2014 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 1201 Wills Street, Baltimore, MD 21231

CRD#: 109064

Baltimore, MD

Past

January 5, 2024 - August 7, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

December 3, 2004 - August 29, 2014

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

June 10, 2002 - October 27, 2004

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541

BETHESDA, MD

Past

January 13, 2001 - May 13, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

January 12, 2001 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

July 20, 2000 - January 12, 2001

FORUM FINANCIAL SERVICES, LLC

CRD#: 38816

PORTLAND, ME

State Registrations and Notice Filings

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

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

Maryland
(9/16/2014)

Exams

State Security Law Exam

Series 63

Date: 12/20/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/19/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/20/2001

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Leah N. Mizer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Leah Nanette Mizer's CRS (Customer Relationship Summary).

Certified licenses

Experience

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

DWS DISTRIBUTORS, INC.

PROFUNDS DISTRIBUTORS, INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

FORUM FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/20/2003

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 7/19/2000

Series 26

Date: 8/20/2001

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

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