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FZ

Frank A. Zasa

FRANKLIN DISTRIBUTORS
St. Petersburg, FL 33716
Some features on this profile are disabled
CRD#: 2801478
FZ

Professional summary

Frank Anthony Zasa, CIMA® is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in St. Petersburg, Florida.

Frank is registered as a RR (Registered Representative) and started their career in finance in 1997. Frank has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Frank Anthony Zasa'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

July 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 100 Fountain Parkway, St. Petersburg, FL 33716
BD
CRD#: 109064
St. Petersburg, FL
Past

May 17, 2019 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
SAN MATEO, CA
Past

February 9, 2009 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
ST. PETERSBURG, FL
Past

March 26, 2007 - February 10, 2009

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
ST. PETERSBURG, FL
Past

September 28, 2006 - March 26, 2007

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

BD
CRD#: 27884
ST. PETERSBURG, FL
Past

January 13, 2005 - September 28, 2006

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
ST. PETERSBURG, FL
Past

June 20, 2003 - January 3, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NAPLES, FL
Past

June 20, 2003 - January 3, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 9, 2002 - May 22, 2003

PGIM INVESTMENTS LLC

RIA
CRD#: 105670
NEWARK, NJ
Past

October 2, 1998 - May 22, 2003

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

July 22, 1997 - July 30, 1998

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, 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
California
(7/7/2021)
RR
Connecticut
(1/7/2022)
RR
Florida
(7/7/2021)
RR
Georgia
(7/7/2021)
RR
Massachusetts
(1/17/2024)
RR
New York
(1/7/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/14/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/11/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/26/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/21/1997
Investment Company Products/Variable Contracts Representative 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#: 109064St. Petersburg, FL 33716

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