Helen T. 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.
Helen T Franklin, who also goes by Helen Teresa Franklin, Helen Theresa Wyner, Helen Wyner, was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 1998. Helen had worked at 7 firms and has passed the Series 66, Series 7TO, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2019 - November 30, 2021
ALLSPRING FUNDS DISTRIBUTOR, LLC
May 1, 2010 - January 5, 2015
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
May 2, 2005 - May 1, 2010
BOFA DISTRIBUTORS, INC.
February 24, 2004 - April 8, 2005
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 29, 2003 - April 8, 2005
SIGNATOR INVESTORS, INC.
June 12, 2001 - September 13, 2002
BDC SECURITIES, LLC
October 20, 1998 - June 14, 2001
NEW ENGLAND SECURITIES
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
Series 7TO
Date: 3/24/2024
General Securities Representative ExaminationCurrent Firm
ALLSPRING FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLC | PARENT | |
| GIBSON, LORI MITCHUM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 3070238 |
| KENNEY, JOHN DUFF | DIRECTOR | 2387755 |
| MCKINLEY, KATHERINE SANDMAN | CHIEF LEGAL OFFICER | 6807581 |
| MONINGER, JOHN KENNETH | PRESIDENT/CHAIRMAN | 2494976 |
| WILARY, CAROLYN ANN | CHIEF COMPLIANCE OFFICER | 4220513 |
Disclosures
| Regulatory Event | 1 |
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.
