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AM

Ara M. Markarian

FRANKLIN DISTRIBUTORS
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 4207139
AM

Professional summary

Ara M Markarian, who also goes by Ara M Markarian, Ara Markarian, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in New York, New York.

Ara is registered as a RR (Registered Representative) and started their career in finance in 2003. Ara has worked at 9 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 24, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ara M Markarian | Ara Markarian

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 Ara M Markarian'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

October 18, 2024 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: One Madison Avenue, New York, NY 10010
BD
CRD#: 109064
NEW YORK, NY
Past

May 25, 2022 - October 15, 2024

ROCKEFELLER FINANCIAL LLC

BD
CRD#: 291361
NEW YORK, NY
Past

December 13, 2018 - May 24, 2022

AQR INVESTMENTS, LLC

BD
CRD#: 289244
Greenwich, CT
Past

December 3, 2007 - November 21, 2018

CLEARBRIDGE INVESTMENTS, LLC

RIA
CRD#: 137028
NEW YORK, NY
Past

December 3, 2007 - November 21, 2018

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
NEW YORK, NY
Past

June 22, 2006 - October 26, 2007

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
YONKERS, NY
Past

January 1, 2005 - October 26, 2007

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
YONKERS, NY
Past

September 15, 2004 - January 1, 2005

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

June 7, 2004 - September 9, 2004

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
NEW YORK, NY
Past

June 7, 2004 - September 9, 2004

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

October 28, 2003 - April 5, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 19, 2003 - June 25, 2003

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
FORT LEE, NJ
Past

March 25, 2003 - June 25, 2003

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(10/18/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/15/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/20/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/24/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/26/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/12/2007
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/2/2006
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
GAMBA, DANIEL ERNESTOCHIEF EXECUTIVE OFFICER4594704
MASOM, JEFFREY SCOTTPRESIDENT-DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546

Disclosures

Regulatory Event1

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.

Company Information

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064New York, NY 10010

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