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DR

Dain A. Reeves

FRANKLIN DISTRIBUTORS
Short Hills, NJ 07078
Some features on this profile are disabled
CRD#: 2760303
DR

Professional summary

Dain Allan Reeves, CIMA®, who also goes by Dain Allan Reeves, Dain Reeves, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.

Dain is registered as a RR (Registered Representative) and started their career in finance in 1997. Dain has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dain Allan Reeves | Dain Reeves

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dain Allan Reeves'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

December 1, 2023 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078
BD
CRD#: 109064
Short Hills, NJ
Past

January 2, 2024 - July 3, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
Atlanta, GA
Past

September 24, 2002 - November 27, 2023

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
ATLANTA, GA
Past

October 16, 1997 - November 27, 2023

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ

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
(1/4/2024)
RR
Alaska
(1/4/2024)
RR
Arizona
(1/4/2024)
RR
Arkansas
(1/4/2024)
RR
California
(1/4/2024)
RR
Colorado
(1/4/2024)
RR
Connecticut
(1/4/2024)
RR
Delaware
(1/4/2024)
RR
District of Columbia
(1/4/2024)
RR
Florida
(1/4/2024)
RR
Georgia
(12/1/2023)
RR
Hawaii
(1/4/2024)
RR
Idaho
(1/4/2024)
RR
Illinois
(1/4/2024)
RR
Indiana
(1/4/2024)
RR
Iowa
(1/4/2024)
RR
Kansas
(1/4/2024)
RR
Kentucky
(1/4/2024)
RR
Louisiana
(1/4/2024)
RR
Maine
(1/4/2024)
RR
Maryland
(1/4/2024)
RR
Massachusetts
(1/4/2024)
RR
Michigan
(1/4/2024)
RR
Minnesota
(1/4/2024)
RR
Mississippi
(1/4/2024)
RR
Missouri
(1/4/2024)
RR
Montana
(1/4/2024)
RR
Nebraska
(1/4/2024)
RR
Nevada
(1/4/2024)
RR
New Hampshire
(1/4/2024)
RR
New Jersey
(1/4/2024)
RR
New Mexico
(1/4/2024)
RR
New York
(1/4/2024)
RR
North Carolina
(1/4/2024)
RR
North Dakota
(1/4/2024)
RR
Ohio
(1/4/2024)
RR
Oklahoma
(1/4/2024)
RR
Oregon
(1/4/2024)
RR
Pennsylvania
(1/4/2024)
RR
Puerto Rico
(1/4/2024)
RR
Rhode Island
(1/4/2024)
RR
South Carolina
(1/4/2024)
RR
South Dakota
(1/4/2024)
RR
Tennessee
(1/4/2024)
RR
Texas
(1/4/2024)
RR
Utah
(1/4/2024)
RR
Vermont
(1/4/2024)
RR
Virgin Islands
(1/4/2024)
RR
Virginia
(1/4/2024)
RR
Washington
(1/4/2024)
RR
West Virginia
(1/4/2024)
RR
Wisconsin
(1/4/2024)
RR
Wyoming
(1/4/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/11/1997
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 2/22/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/14/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/3/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
GAMBA, DANIEL ERNESTOCHIEF EXECUTIVE OFFICER4594704
MASOM, JEFFREY SCOTTPRESIDENT-DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546

Disclosures

Regulatory Event1

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.

Company Information

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064Short Hills, NJ 07078

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