Alaina F. Hom
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.
Alaina Fong Hom, who also goes by Alaina Hom, was a registered financial professional .
Alaina is a previously registered financial professional and started their career in finance in 1998. Alaina had worked at 3 firms and has passed the Series 28 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2009 - October 1, 2015
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
October 18, 2001 - October 1, 2015
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
May 28, 1999 - October 1, 2015
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
September 1, 1998 - May 28, 1999
FRANKLIN/TEMPLETON DISTRIBUTORS, 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
Series 28
Date: 8/25/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
CRD#: 332 / SEC#: , 8-5889
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
