Neil M. Charran

FRANKLIN DISTRIBUTORS

NEW YORK, NY 10010

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CRD#: 3087634

Professional summary

Neil Martinwilliam Charran is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in New York, New York.

Neil is registered as a RR (Registered Representative) and started their career in finance in 1998. Neil has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Neil Martinwilliam Charran'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®

None

Experience

Current

July 9, 2007 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: One Madison Avenue, New York, NY 10010

CRD#: 109064

NEW YORK, NY

Past

August 31, 2004 - October 24, 2005

REFCO SECURITIES, LLC

CRD#: 14094

NEW YORK, NY

Past

March 12, 2003 - December 15, 2003

AMERICAN SKANDIA ADVISORY SERVICES, INC.

RIA

CRD#: 109211

SHELTON, CT

Past

January 28, 2000 - December 15, 2003

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

March 5, 1999 - November 24, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 20, 1998 - March 10, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(12/13/2007)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/10/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/9/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/14/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/19/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Neil M. Charran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neil Martinwilliam Charran's CRS (Customer Relationship Summary).

Certified licenses

Experience

REFCO SECURITIES, LLC

AMERICAN SKANDIA ADVISORY SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/1998

Series 63

Date: 9/9/1998

SIE

Date: 10/1/2018

Series 31

Date: 9/14/1998

Series 7

Date: 8/19/1998

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

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