Eric M. Franklin
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.
Eric Michael Franklin was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1997. Eric had worked at 10 firms and has passed the Series 66, Series 63, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2014 - April 10, 2014
WADDELL & REED
December 19, 2013 - April 10, 2014
WADDELL & REED
February 24, 2012 - April 20, 2012
EDWARD JONES
January 6, 2012 - April 20, 2012
EDWARD JONES
June 24, 2010 - July 15, 2010
VALIC FINANCIAL ADVISORS, INC.
May 25, 2007 - December 10, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 2007 - December 10, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 2003 - May 25, 2007
FIRST HORIZON ADVISORS, INC.
October 8, 2002 - May 25, 2007
FIRST HORIZON ADVISORS, INC.
September 24, 2001 - August 13, 2002
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 7, 1999 - September 28, 2001
BANC ONE SECURITIES CORPORATION
July 6, 1998 - September 28, 1999
MORGAN STANLEY DW INC.
November 28, 1997 - June 17, 1998
METROPOLITAN LIFE INSURANCE COMPANY
November 28, 1997 - June 17, 1998
MSI FINANCIAL SERVICES, INC.
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
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| 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.
