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JB

Joaquin Balaguer

FRANKLIN DISTRIBUTORS
BALTIMORE, MD 21231
Some features on this profile are disabled
CRD#: 4218560
JB
Joaquin BalaguerFRANKLIN DISTRIBUTORS

Professional summary

Joaquin Balaguer, who also goes by Joaquin Rafael Balaguer, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Baltimore, Maryland.

Joaquin is registered as a RR (Registered Representative) and started their career in finance in 2001. Joaquin has worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Aliases

Joaquin Rafael Balaguer

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 Joaquin Balaguer'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 14, 2026 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 1201 Wills Street, Baltimore, MD 21231
BD
CRD#: 109064
BALTIMORE, MD
Past

September 17, 2021 - June 29, 2026

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
WINDSOR, CT
Past

April 18, 2016 - September 13, 2021

CION SECURITIES, LLC

BD
CRD#: 15487
NEW YORK, NY
Past

December 12, 2014 - April 25, 2016

RESOURCE SECURITIES LLC

BD
CRD#: 133022
PHILADELPHIA, PA
Past

August 16, 2010 - December 9, 2014

FS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 145244
ORLANDO, FL
Past

May 20, 2005 - August 12, 2010

CNL SECURITIES CORP.

BD
CRD#: 10356
ORLANDO, FL
Past

November 4, 2004 - April 4, 2005

NORTH AMERICAN CLEARING, INC.

BD
CRD#: 39118
LONGWOOD, FL
Past

June 24, 2004 - October 15, 2004

SALZBURG SECURITIES, LLC

BD
CRD#: 125450
ORLANDO, FL
Past

May 8, 2003 - August 3, 2004

GLOBAL-AMERICAN INVESTMENTS, INC.

BD
CRD#: 41802
WALNUT, CA
Past

September 20, 2002 - May 6, 2003

WHITE PACIFIC SECURITIES, INC.

BD
CRD#: 42505
SAN FRANCISCO, CA
Past

April 9, 2002 - June 3, 2002

BERTRAM SAMUEL SECURITIES, LLC

BD
CRD#: 111183
BOWLING GREEN, KY
Past

March 27, 2001 - April 5, 2002

POINT DIREX SECURITIES, LLC

BD
CRD#: 41437
ORLANDO, FL

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
Alabama
(7/14/2026)
RR
Alaska
(7/14/2026)
RR
Arizona
(7/14/2026)
RR
Arkansas
(7/14/2026)
RR
California
(7/14/2026)
RR
Colorado
(7/14/2026)
RR
Connecticut
(7/14/2026)
RR
Delaware
(7/14/2026)
RR
District of Columbia
(7/14/2026)
RR
Florida
(7/14/2026)
RR
Georgia
(7/14/2026)
RR
Hawaii
(7/14/2026)
RR
Idaho
(7/14/2026)
RR
Illinois
(7/14/2026)
RR
Indiana
(7/14/2026)
RR
Iowa
(7/14/2026)
RR
Kansas
(7/14/2026)
RR
Kentucky
(7/14/2026)
RR
Louisiana
(7/14/2026)
RR
Maine
(7/14/2026)
RR
Maryland
(7/14/2026)
RR
Massachusetts
(7/14/2026)
RR
Michigan
(7/14/2026)
RR
Minnesota
(7/14/2026)
RR
Mississippi
(7/14/2026)
RR
Missouri
(7/14/2026)
RR
Montana
(7/14/2026)
RR
Nebraska
(7/14/2026)
RR
Nevada
(7/14/2026)
RR
New Hampshire
(7/14/2026)
RR
New Jersey
(7/14/2026)
RR
New Mexico
(7/14/2026)
RR
New York
(7/14/2026)
RR
North Carolina
(7/14/2026)
RR
North Dakota
(7/14/2026)
RR
Ohio
(7/14/2026)
RR
Oklahoma
(7/14/2026)
RR
Oregon
(7/14/2026)
RR
Pennsylvania
(7/14/2026)
RR
Puerto Rico
(7/14/2026)
RR
Rhode Island
(7/14/2026)
RR
South Carolina
(7/14/2026)
RR
South Dakota
(7/14/2026)
RR
Tennessee
(7/14/2026)
RR
Texas
(7/14/2026)
RR
Utah
(7/14/2026)
RR
Vermont
(7/14/2026)
RR
Virgin Islands
(7/14/2026)
RR
Virginia
(7/14/2026)
RR
Washington
(7/14/2026)
RR
West Virginia
(7/14/2026)
RR
Wisconsin
(7/14/2026)
RR
Wyoming
(7/14/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/30/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/16/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/26/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/14/2002
General Securities Principal 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)
Loading...

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

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#: 109064Baltimore, MD 21231

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