David J. Franko
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.
David Jeffrey Franko was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 10 firms and has passed the Series 65, Series 63 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
June 6, 2008 - February 2, 2012
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
May 18, 2006 - February 2, 2012
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
February 4, 2005 - May 19, 2006
VSR FINANCIAL SERVICES, INC.
March 20, 2002 - February 23, 2005
CETERA WEALTH SERVICES, LLC
August 1, 2000 - March 15, 2002
AMERITAS INVESTMENT COMPANY, LLC
July 21, 1995 - July 24, 2000
PIPER SANDLER & CO.
February 22, 1994 - August 14, 1995
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 26, 1994 - February 18, 1994
A. G. EDWARDS & SONS, INC.
June 28, 1993 - January 21, 1994
AMERIPRISE ADVISOR SERVICES, INC.
May 4, 1993 - July 22, 1993
IDS LIFE INSURANCE COMPANY
May 4, 1993 - July 22, 1993
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
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
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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