Franklin Waung

WATTS CAPITAL PARTNERS LLC

New York, NY

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CRD#: 2514198

Professional summary

Franklin Waung, who also goes by Frank Waung, is a registered financial advisor currently at WATTS CAPITAL PARTNERS LLC located in New York, New York.

Franklin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Franklin has worked at 7 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank Waung

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.

CNF CONSULTING, NON-INVESTMENT RELATED.TRANSLATION SERVICE (CHINESE>ENGLISH). SOLE PROPRIETER. Partner at Cubic AI Technologies managing partners money.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Franklin Waung'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

June 23, 2023 - Present

WATTS CAPITAL PARTNERS LLC

RIA

CRD#: 149049

New York, NY

Past

March 3, 2020 - December 31, 2022

WATTS CAPITAL PARTNERS LLC

RIA

CRD#: 149049

NEW YORK, NY

Past

March 26, 2008 - April 29, 2009

BRILL SECURITIES, INC.

CRD#: 18565

NEW YORK, NY

Past

April 24, 2000 - February 20, 2007

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

April 28, 1998 - January 29, 1999

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

Past

January 28, 1995 - February 1, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 24, 1995 - April 9, 1998

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

July 27, 1994 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WATTS CAPITAL PARTNERS LLC

NAME 619 | WATTS CAPITAL PARTNERS LLC

CRD#: 149049 / SEC#: 801-78813

RIA

Registered Investment Advisory firm - (11/19/2013 Approved)

Connecticut

Registered Investment Advisory firm - (12/5/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (12/4/2013 Terminated)

New York

Registered Investment Advisory firm - (12/4/2013 Terminated)

Oregon

Registered Investment Advisory firm - (12/4/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(6/23/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/25/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/2/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/26/1994

General Securities Representative Examination

Current Firm

WATTS CAPITAL PARTNERS LLC

NAME 619 | WATTS CAPITAL PARTNERS LLC

CRD#: 149049 / SEC#: 801-78813

RIA

Registered Investment Advisory firm - (11/19/2013 Approved)

Connecticut

Registered Investment Advisory firm - (12/5/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (12/4/2013 Terminated)

New York

Registered Investment Advisory firm - (12/4/2013 Terminated)

Oregon

Registered Investment Advisory firm - (12/4/2013 Terminated)

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Contact information

Main Address

New York, NY

Mailing Address

Phone number

(212) 735-8921

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATTS FORM 2B - TY BUCKELEW (2/14/2025)

WATTS FORM 2B - TOM WATTS (2/14/2025)

WATTS CAPITAL PARTNERS CLIENT BROCHURE 2025 (2/14/2025)

Regulatory assets under management

Total Number of Accounts	405
AUM (Assets Under Management)	$ 72,938,892

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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Advisor Monitoring

Firm Stability Insights

Franklin Waung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Franklin Waung's CRS (Customer Relationship Summary).

Certified licenses

Experience

WATTS CAPITAL PARTNERS LLC

BRILL SECURITIES, INC.

COWEN AND COMPANY

TD SECURITIES (USA) LLC

UBS FINANCIAL SERVICES INC.

CREDIT SUISSE SECURITIES (USA) LLC

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

WATTS CAPITAL PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/2019

Series 63

Date: 7/28/1994

Series 3

Date: 8/2/1994

Series 7

Date: 7/26/1994

Current Firm

WATTS CAPITAL PARTNERS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATTS CAPITAL PARTNERS LLC

TRUST BUT VERIFY

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