Franklin B. Lott
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.
Franklin Benton Lott, who also goes by Frank Lott, Franlin B Lott, was a registered financial professional .
Franklin is a previously registered financial professional and started their career in finance in 1998. Franklin had worked at 4 firms and has passed the Series 65, Series 63 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
July 31, 2006 - December 4, 2006
STUART SECURITIES CORP.
March 6, 2002 - June 30, 2004
VOYA FINANCIAL ADVISORS, INC.
September 5, 2000 - March 14, 2002
STUART SECURITIES CORP.
June 17, 1999 - September 15, 2000
WMA SECURITIES, INC.
February 5, 1998 - August 13, 1998
SIGNATOR INVESTORS, 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
STUART SECURITIES CORP.
CRD#: 47076 / SEC#: , 8-51666
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STUART FINANCIAL CORP. | OWNER | |
| TONNER, KELVIN GORDON | CCO, SECRETARY & TREASURER | 4525875 |
Disclosures
| Regulatory Event | 2 |
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.
