Michelle J. Franks

FIDELITY DISTRIBUTORS COMPANY LLC

Smithfield, RI 02917

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CRD#: 2475599

Professional summary

Michelle J Franks, who also goes by Michelle Jeaninne Franks, Michellefranks J Franks, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island.

Michelle is registered as a RR (Registered Representative) and started their career in finance in 1995. Michelle has worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michelle Jeaninne Franks | Michellefranks J Franks

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.

1. Michigan Heroes Museum; 1250 Weiss St, Frankenmuth, MI 48734; Museum of military artifacts from Michigan military members to Honor, Respect, and Remember their service and sacrifice; Member of the Board of Directors; Attend meetings to discuss vision and purpose of the board and offer insight on growing recognition of Michigan military heroes; 02/01/2022; 5 Hours per Month; Not during securities trading hours; Not Investment-Related.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michelle J Franks's 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

May 2, 2024 - Present

FIDELITY DISTRIBUTORS COMPANY LLC

Office #1: 500 Salem Street, Smithfield, RI 02917

CRD#: 17507

Smithfield, RI

Past

July 14, 2022 - April 12, 2024

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

GRAND RAPIDS, MI

Past

July 12, 2022 - April 12, 2024

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

GRAND RAPIDS, MI

Past

January 22, 2015 - February 28, 2022

MFS INSTITUTIONAL ADVISORS INC.

RIA

CRD#: 107144

BOSTON, MA

Past

January 13, 2015 - February 28, 2022

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

September 28, 2010 - December 17, 2014

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

GRAND RAPIDS, MI

Past

May 26, 2010 - December 17, 2014

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

January 23, 2008 - May 27, 2010

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

MINNEAPOLIS, MN

Past

July 13, 2007 - February 4, 2008

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

November 26, 2001 - May 18, 2007

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

August 30, 1999 - May 9, 2001

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

October 20, 1998 - September 1, 1999

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

August 31, 1998 - May 9, 2001

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

September 12, 1996 - September 17, 1998

FIFTH THIRD SECURITIES, INC.

CRD#: 3155

CINCINNATI, OH

Past

January 26, 1995 - February 29, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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

Alabama
(5/2/2024)

Alaska
(5/2/2024)

Arizona
(5/2/2024)

Arkansas
(5/2/2024)

California
(5/2/2024)

Colorado
(5/2/2024)

Connecticut
(5/2/2024)

Delaware
(5/2/2024)

District of Columbia
(5/2/2024)

Florida
(5/2/2024)

Georgia
(5/2/2024)

Hawaii
(5/2/2024)

Idaho
(5/2/2024)

Illinois
(5/2/2024)

Indiana
(5/2/2024)

Iowa
(5/2/2024)

Kansas
(5/2/2024)

Kentucky
(5/2/2024)

Louisiana
(5/2/2024)

Maine
(5/2/2024)

Maryland
(5/2/2024)

Massachusetts
(5/2/2024)

Michigan
(5/2/2024)

Minnesota
(5/2/2024)

Mississippi
(5/2/2024)

Missouri
(5/2/2024)

Montana
(5/2/2024)

Nebraska
(5/2/2024)

Nevada
(5/2/2024)

New Hampshire
(5/2/2024)

New Jersey
(5/2/2024)

New Mexico
(5/2/2024)

New York
(5/2/2024)

North Carolina
(5/6/2024)

North Dakota
(5/2/2024)

Ohio
(5/3/2024)

Oklahoma
(5/2/2024)

Oregon
(5/2/2024)

Pennsylvania
(5/2/2024)

Puerto Rico
(5/2/2024)

Rhode Island
(5/2/2024)

South Carolina
(5/2/2024)

South Dakota
(5/2/2024)

Tennessee
(5/2/2024)

Texas
(5/2/2024)

Utah
(5/2/2024)

Vermont
(5/2/2024)

Virginia
(5/2/2024)

Washington
(5/2/2024)

West Virginia
(5/2/2024)

Wisconsin
(5/2/2024)

Wyoming
(5/2/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/25/2010

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/1/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/25/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 11/7/2022

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 9/30/2022

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY

CRD#: 17507 / SEC#: , 8-35097

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

900 Salem Street, Smithfield, RI 02917

Mailing Address

Two Destiny Way Mail Zone Wg3d, Westlake, TX 76262

Phone number

(800) 237-8132

Established

Delaware since 01/01/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.	STOCKHOLDER
ACKERMAN, CHARLES ALLAN	DIRECTOR	2168517
ADAMS, ROBERT	COO	1291582
GUSTAFSON, DALTON	PRESIDENT/DIRECTOR	2439305
HAGGERTY, MARK A	EXECUTIVE VICE PRESIDENT/DIRECTOR	4347837
KAVANAUGH, NATALIE ANN	CHIEF LEGAL OFFICER
MCGINTY, JOHN JR.	CHIEF COMPLIANCE OFFICER	5560420
RHODES, NOAH BUTLER	CHIEF FINANCIAL OFFICER	6546392

Disclosures

Regulatory Event	3
Arbitration	17

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

Michelle J. Franks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michelle J Franks's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

MFS INSTITUTIONAL ADVISORS INC.

MFS FUND DISTRIBUTORS, INC.

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

ALLIANZ LIFE FINANCIAL SERVICES, LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

NATCITY INSURANCE SERVICES, INC.

IFMG SECURITIES, INC.

NATCITY INVESTMENTS, INC.

FIFTH THIRD SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/25/2010

Series 65

Date: 5/1/1995

Series 63

Date: 3/27/1995

SIE

Date: 10/1/2018

Series 7

Date: 1/25/1995

Series 9

Date: 11/7/2022

Series 10

Date: 9/30/2022

FINRA

Current Firm

FIDELITY DISTRIBUTORS COMPANY LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIDELITY DISTRIBUTORS COMPANY LLC

TRUST BUT VERIFY

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