Franklin H. Gaines
Professional summary
Franklin Hudson Gaines was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Franklin is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Franklin had worked at 8 firms, which includes EN SOF SECURITIES CORPORATION, FINANCIAL PLANNERS EQUITY CORPORATION, INTEGRATED RESOURCES EQUITY CORPORATION, FIRST MID-AMERICA INC., TOUCHSTONE SECURITIES INC., PACIFIC AMERICAN FINANCIAL CORPORATION, FOUNDERS ASSET MANAGEMENT INC., PENNSYLVANIA SECURITIES COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 1983 - October 16, 1985
EN SOF SECURITIES CORPORATION
May 6, 1982 - December 15, 1982
FINANCIAL PLANNERS EQUITY CORPORATION
April 25, 1978 - May 17, 1982
INTEGRATED RESOURCES EQUITY CORPORATION
February 25, 1975 - May 8, 1978
FIRST MID-AMERICA INC.
July 24, 1973 - May 17, 1975
TOUCHSTONE SECURITIES, INC.
April 14, 1972 - February 22, 1973
PACIFIC AMERICAN FINANCIAL CORPORATION
April 6, 1971 - February 15, 1972
FOUNDERS ASSET MANAGEMENT, INC.
December 29, 1970 - May 22, 1971
PENNSYLVANIA SECURITIES COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 2/8/1968
Registered Representative ExaminationSeries 00
Date: 6/14/1973
General Securities Principal ExaminationCurrent Firm
EN SOF SECURITIES CORPORATION
CRD#: 13049 / SEC#: , 8-28381
Contact information
Documents
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