Michael Seth Loewengart

UBS FINANCIAL SERVICES INC.

GREENWICH, CT · CRD#

LPL ENTERPRISE, LLC

WHITE PLAINS, NY · CRD#

AE WEALTH MANAGEMENT, LLC

Darien, CT · CRD#

RBC CAPITAL MARKETS, LLC

STAMFORD, CT · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CIMA®

Certified Investment Management Analyst

Years of Experience

27 years registered in the securities industry

Current & Past Employments

Current

FRANKLIN DISTRIBUTORS, LLCCurrent·CRD# 109064

BD

100 First Stamford Place, Stamford, CT 06902

November 20, 2024 - Present

Past

MORGAN STANLEYPast·CRD# 149777

RIA

Purchase, NY

February 18, 2022 - April 17, 2024

MORGAN STANLEYPast·CRD# 149777

BD

Purchase, NY

February 18, 2022 - April 17, 2024

HARRISDIRECT LLCPast·CRD# 42159

RIA

Purchase, NY

March 22, 2010 - September 5, 2023

E*TRADE SECURITIES LLCPast·CRD# 29106

BD

Purchase, NY

December 21, 2007 - September 5, 2023

E*TRADE GLOBAL ASSET MANAGEMENT, INC.Past·CRD# 42890

BD

Arlington, VA

September 13, 2007 - December 21, 2007

TRANSAMERICA INVESTORS SECURITIES, LLCPast·CRD# 32205

BD

Purchase, NY

July 7, 2006 - August 20, 2007

CITIGROUP GLOBAL MARKETS INC.Past·CRD# 7059

RIA

New York, NY

March 23, 2006 - May 2, 2006

CITIGROUP GLOBAL MARKETS INC.Past·CRD# 7059

BD

New York, NY

October 19, 2004 - May 2, 2006

LORD ABBETT DISTRIBUTOR LLCPast·CRD# 530

BD

Jersey City, NJ

July 14, 2003 - June 30, 2004

OPPENHEIMER & CO. INC.Past·CRD# 249

BD

New York, NY

April 1, 2003 - July 22, 2003

CIBC WORLD MARKETS CORP.Past·CRD# 630

BD

New York, NY

May 29, 2002 - April 8, 2003

COREBRIDGE CAPITAL SERVICES, INC.Past·CRD# 13158

BD

Jersey City, NJ

February 23, 1999 - July 20, 2000

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GREENWICH, CT · CRD#

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WHITE PLAINS, NY · CRD#

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Darien, CT · CRD#

RBC CAPITAL MARKETS, LLC

STAMFORD, CT · CRD#

Customer Relationship Summary (CRS / 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)

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

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

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

1

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GREENWICH, CT · CRD#

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WHITE PLAINS, NY · CRD#

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STAMFORD, CT · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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UBS FINANCIAL SERVICES INC.

GREENWICH, CT · CRD#

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WHITE PLAINS, NY · CRD#

AE WEALTH MANAGEMENT, LLC

Darien, CT · CRD#

RBC CAPITAL MARKETS, LLC

STAMFORD, CT · CRD#

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(11/20/2024)

RR

Alaska
(11/20/2024)

RR

Arizona
(11/20/2024)

RR

Arkansas
(11/20/2024)

RR

California
(11/20/2024)

RR

Colorado
(11/20/2024)

RR

Connecticut
(11/20/2024)

RR

Delaware
(11/20/2024)

RR

District of Columbia
(11/20/2024)

RR

Florida
(11/20/2024)

RR

Georgia
(11/20/2024)

RR

Hawaii
(11/20/2024)

RR

Idaho
(11/20/2024)

RR

Illinois
(11/20/2024)

RR

Indiana
(11/20/2024)

RR

Iowa
(11/20/2024)

RR

Kansas
(11/20/2024)

RR

Kentucky
(11/20/2024)

RR

Louisiana
(11/20/2024)

RR

Maine
(11/20/2024)

RR

Maryland
(11/20/2024)

RR

Massachusetts
(11/20/2024)

RR

Michigan
(11/20/2024)

RR

Minnesota
(11/20/2024)

RR

Mississippi
(11/20/2024)

RR

Missouri
(11/20/2024)

RR

Montana
(11/20/2024)

RR

Nebraska
(11/20/2024)

RR

Nevada
(11/20/2024)

RR

New Hampshire
(11/20/2024)

RR

New Jersey
(11/20/2024)

RR

New Mexico
(11/20/2024)

RR

New York
(11/20/2024)

RR

North Carolina
(11/20/2024)

RR

North Dakota
(11/20/2024)

RR

Ohio
(11/20/2024)

RR

Oklahoma
(11/20/2024)

RR

Oregon
(11/20/2024)

RR

Pennsylvania
(11/20/2024)

RR

Puerto Rico
(11/20/2024)

RR

Rhode Island
(11/20/2024)

RR

South Carolina
(11/20/2024)

RR

South Dakota
(11/20/2024)

RR

Tennessee
(11/20/2024)

RR

Texas
(11/20/2024)

RR

Utah
(11/20/2024)

RR

Vermont
(11/20/2024)

RR

Virgin Islands
(11/20/2024)

RR

Virginia
(11/20/2024)

RR

Washington
(11/20/2024)

RR

West Virginia
(11/20/2024)

RR

Wisconsin
(11/20/2024)

RR

Wyoming
(11/20/2024)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Feb 1999About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Jul 2014About the Series 24 exam

FINRA

SRO Registrations

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CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Seth Loewengart's CRS (Customer Relationship Summary).

Similar Advisors

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GREENWICH, CT · CRD#

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RBC CAPITAL MARKETS, LLC

STAMFORD, CT · CRD#