TF
Thomas R. Franco
VP DISTRIBUTORS LLC
MIAMI, FL
Some features on this profile are disabled
CRD#: 2651546
TF
Professional summary
Thomas Richard Franco, who also goes by Tommy Franco, is a registered financial professional currently at VP DISTRIBUTORS LLC located in Miami, Florida.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tommy Franco
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Richard Franco'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®
NoneExperience
Current
May 8, 2015 - Present
VP DISTRIBUTORS LLC
BD
CRD#: 3036
MIAMI, FL
Past
December 21, 2001 - December 31, 2008
UBS ASSET MANAGEMENT (US) INC.
RIA
CRD#: 583
CORAL GABLES, FL
Past
December 21, 2001 - April 8, 2015
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
CORAL GABLES, FL
Past
January 6, 2000 - December 10, 2001
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Past
October 24, 1996 - January 6, 2000
PXP SECURITIES CORP.
BD
CRD#: 22898
HARTFORD, CT
Past
April 22, 1996 - August 6, 1996
WALDRON & CO., INC.
BD
CRD#: 868
IRVINE, CA
Past
January 23, 1996 - May 3, 1996
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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
Alabama(5/8/2015)
RR
Alaska(5/8/2015)
RR
Arizona(5/8/2015)
RR
Arkansas(5/8/2015)
RR
California(5/8/2015)
RR
Colorado(5/8/2015)
RR
Connecticut(5/8/2015)
RR
Delaware(5/8/2015)
RR
District of Columbia(5/8/2015)
RR
Florida(5/8/2015)
RR
Georgia(5/8/2015)
RR
Hawaii(5/8/2015)
RR
Idaho(5/8/2015)
RR
Illinois(5/8/2015)
RR
Indiana(5/8/2015)
RR
Iowa(5/8/2015)
RR
Kansas(5/8/2015)
RR
Kentucky(5/8/2015)
RR
Louisiana(5/8/2015)
RR
Maine(5/8/2015)
RR
Maryland(5/8/2015)
RR
Massachusetts(5/8/2015)
RR
Michigan(5/8/2015)
RR
Minnesota(5/8/2015)
RR
Mississippi(5/8/2015)
RR
Missouri(5/8/2015)
RR
Montana(5/8/2015)
RR
Nebraska(5/8/2015)
RR
Nevada(5/8/2015)
RR
New Hampshire(5/8/2015)
RR
New Jersey(5/8/2015)
RR
New Mexico(5/8/2015)
RR
New York(5/8/2015)
RR
North Carolina(5/8/2015)
RR
North Dakota(5/8/2015)
RR
Ohio(5/8/2015)
RR
Oklahoma(5/8/2015)
RR
Oregon(5/8/2015)
RR
Pennsylvania(5/8/2015)
RR
Puerto Rico(5/8/2015)
RR
Rhode Island(5/8/2015)
RR
South Carolina(5/8/2015)
RR
South Dakota(5/8/2015)
RR
Tennessee(5/8/2015)
RR
Texas(5/8/2015)
RR
Utah(5/8/2015)
RR
Vermont(5/8/2015)
RR
Virginia(5/8/2015)
RR
Washington(5/8/2015)
RR
West Virginia(5/8/2015)
RR
Wisconsin(5/8/2015)
RR
Wyoming(5/8/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VD
VP DISTRIBUTORS LLC
PHOENIX EQUITY PLANNING CORPORATION | VP DISTRIBUTORS LLC | VP DISTRIBUTORS INC
CRD#: 3036 / SEC#: , 8-14100
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Financial Plaza, Hartford, CT 06103
Mailing Address
One Financial Plaza, Hartford, CT 06103
Phone number
(860) 503-1348
Established
Delaware since 09/30/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VIRTUS PARTNERS, INC | SOLE MEMBER | |
| BACHRACH, IAN | SENIOR MANAGING DIRECTOR, MARKETING | 2797509 |
| BICKS, MICHAEL WAYNE | MANAGING DIRECTOR, DISTRIBUTION INTELLIGENCE | 5450963 |
| DANOS, CHRISTOPHER ROBERT | MANAGING DIRECTOR, NATIONAL ACCOUNTS | 2716625 |
| FRANCO, THOMAS RICHARD | SENIOR MANAGING DIRECTOR, RETAIL SALES | 2651546 |
| GRISWOLD, HEIDI CHRISTINE | VICE PRESIDENT, FUND SERVICES | 2304631 |
| HANLEY, DAVID GEORGE JR | SENIOR VICE PRESIDENT AND TREASURER | 5455435 |
| KATZ, DAVID JAY | SENIOR MANAGING DIRECTOR, INSTITUTIONAL | 2813039 |
| MACCONE, JOSEPH EDMUND | SENIOR MANAGING DIRECTOR, STRATEGIC DISTRIBUTION | 4273677 |
| MANDINACH, BARRY MITCHELL | EXECUTIVE VICE PRESIDENT | 1234185 |
| MAROSITS, TIFFANY PAIGE | VICE PRESIDENT, SENIOR REGULATORY COUNSEL AND ASSISTANT SECRETARY | 6507868 |
| PERLMAN, DIANA MARIE | CHIEF COMPLIANCE OFFICER | 2555302 |
| PURKALITIS, ANDRA CYNTHIA | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | 3070864 |
Disclosures
| Regulatory Event | 1 |
| Bond | 3 |
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.
