Richard E. Franzen
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.
Richard Edward Franzen, who also goes by Richard Franzen, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 6 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2010 - December 31, 2012
BATTENKILL CAPITAL MANAGEMENT, INC.
April 18, 2006 - August 29, 2006
MILLENCO LLC
April 3, 2000 - January 20, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
February 24, 2000 - January 20, 2006
FAM DISTRIBUTORS, INC.
June 5, 1997 - February 25, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 1996 - December 30, 1996
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BATTENKILL CAPITAL MANAGEMENT, INC.
CRD#: 153815 / SEC#: 801-71439
Contact information
Red Flags
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