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TA

Thomas G. Antonovich

FRANKLIN DISTRIBUTORS
Short Hills, NJ 07078
Some features on this profile are disabled
CRD#: 2343997
TA

Professional summary

Thomas Grove Antonovich, CFP®, CIMA®, who also goes by Tom Antonovich, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 12 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

Tom Antonovich

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 Thomas Grove Antonovich'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®
CFP®

Certified Financial Planner

Start date: 2016

CIMA®

Certified Investment Management Analyst

Experience

Current

July 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078
BD
CRD#: 109064
Short Hills, NJ
Past

August 16, 2019 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
SAN MATEO, CA
Past

May 8, 2017 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

January 2, 2014 - March 22, 2016

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

July 1, 2013 - December 31, 2013

NEXBANK SECURITIES INC

BD
CRD#: 133267
DALLAS, TX
Past

December 3, 2012 - May 6, 2013

HARTFORD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45995
WAYNE, PA
Past

April 5, 2005 - April 15, 2005

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHARLOTTE, NC
Past

March 11, 2005 - December 3, 2012

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

May 2, 2001 - March 21, 2005

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

July 12, 1999 - May 2, 2001

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

June 15, 1998 - July 12, 1999

ARK FUNDS DISTRIBUTORS, LLC

BD
CRD#: 17685
PORTLAND, ME
Past

July 29, 1997 - May 18, 1998

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN

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
Iowa
(1/17/2024)
RR
Massachusetts
(1/17/2024)
RR
Minnesota
(7/7/2021)
RR
Nebraska
(1/17/2024)
RR
New York
(1/5/2022)
RR
North Dakota
(7/7/2021)
RR
South Dakota
(7/7/2021)
RR
Tennessee
(9/12/2025)
RR
Wisconsin
(7/22/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/22/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/27/1997
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: 7/28/1997
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#: 109064Short Hills, NJ 07078

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