Patty Franklin
Professional summary
Patty Franklin, who also goes by Patty S Franklin, Patty Sung Franklin, Patty Sung Wood, Patty Sung Yu, Sung Yon Yu, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Thousand Oaks, California and FIDELITY BROKERAGE SERVICES LLC located in Thousand Oaks, California.
Patty is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Patty has worked at 16 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Patty Franklin's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 111 South Westlake Blvd Suite #103, Thousand Oaks, CA 91362-3807January 23, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 111 South Westlake Blvd #103, Thousand Oaks, CA 91362January 30, 2023 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 27, 2019 - January 16, 2023
STRATEGIC PE ADVISORS LLC
July 11, 2016 - December 31, 2018
STRATEGIC PE ADVISORS LLC
November 16, 2015 - January 12, 2023
EMERSON EQUITY LLC
November 16, 2015 - January 12, 2023
EMERSON EQUITY LLC
November 2, 2010 - January 27, 2014
TD AMERITRADE, INC.
November 2, 2010 - January 27, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 2, 2010 - January 27, 2014
TD AMERITRADE, INC.
July 20, 2009 - November 3, 2010
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 20, 2009 - November 3, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 12, 2008 - January 27, 2009
UBS FINANCIAL SERVICES INC.
February 11, 2008 - January 27, 2009
UBS FINANCIAL SERVICES INC.
May 11, 2007 - December 31, 2007
SIMON SECURITIES INVESTMENT ADVISORS, LLC
February 2, 2006 - April 13, 2007
POUND FINANCIAL, LLC
February 10, 2004 - September 30, 2005
LPL FINANCIAL LLC
October 15, 2003 - January 12, 2004
FEDERAL STREET INVESTMENTS, INC.
October 17, 2001 - October 2, 2003
EDWARD JONES
November 30, 2000 - October 2, 2001
COREBRIDGE CAPITAL SERVICES, INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/7/2026)
(1/23/2023)
(3/31/2025)
(1/7/2026)
(1/7/2026)
(1/7/2026)
(3/1/2024)
(3/31/2025)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
