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Patty S. Franklin

STRATEGIC ADVISERS LLC
THOUSAND OAKS, CA
Some features on this profile are disabled
CRD#: 4254934
PF

Professional summary

Patty Sung 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Patty S Franklin | Patty Sung Franklin | Patty Sung Wood | Patty Sung Yu | Sung Yon Yu

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.
OBA-95119|OrgNmn:Poshmark|Org Addr:Newbury Pa,California,US|OBA Nature:Selling used clothing and item|Invst Rel:N|Title:seller|Duties:posting and selling clothes|StrtDt:01-01-23|TotHrs/mon:20|TrdHrs/mon:0|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patty Sung Franklin'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

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 111 South Westlake Blvd Suite #103, Thousand Oaks, CA 91362-3807
RIA
CRD#: 104555
THOUSAND OAKS, CA
Current

January 23, 2023 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 111 South Westlake Blvd #103, Thousand Oaks, CA 91362
BD
CRD#: 7784
Thousand Oaks, CA
Past

January 30, 2023 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
THOUSAND OAKS, CA
Past

February 27, 2019 - January 16, 2023

STRATEGIC PE ADVISORS LLC

RIA
CRD#: 283651
NEWBURY PARK, CA
Past

July 11, 2016 - December 31, 2018

STRATEGIC PE ADVISORS LLC

RIA
CRD#: 283651
WESTLAKE VILLAGE, CA
Past

November 16, 2015 - January 12, 2023

EMERSON EQUITY LLC

RIA
CRD#: 130032
Newbury Park, CA
Past

November 16, 2015 - January 12, 2023

EMERSON EQUITY LLC

BD
CRD#: 130032
Westlake Village, CA
Past

November 2, 2010 - January 27, 2014

TD AMERITRADE, INC.

RIA
CRD#: 7870
THOUSAND OAKS, CA
Past

November 2, 2010 - January 27, 2014

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
THOUSAND OAKS, CA
Past

November 2, 2010 - January 27, 2014

TD AMERITRADE, INC.

BD
CRD#: 7870
THOUSAND OAKS, CA
Past

July 20, 2009 - November 3, 2010

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
WEST HILLS, CA
Past

July 20, 2009 - November 3, 2010

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
WEST HILLS, CA
Past

March 12, 2008 - January 27, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WOODLAND HILLS, CA
Past

February 11, 2008 - January 27, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WOODLAND HILLS, CA
Past

May 11, 2007 - December 31, 2007

SIMON SECURITIES INVESTMENT ADVISORS, LLC

RIA
CRD#: 143713
WEST HILLS, CA
Past

February 2, 2006 - April 13, 2007

POUND FINANCIAL, LLC

RIA
CRD#: 126789
VENTURA, CA
Past

February 10, 2004 - September 30, 2005

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

October 15, 2003 - January 12, 2004

FEDERAL STREET INVESTMENTS, INC.

BD
CRD#: 104290
BEVERLY, MA
Past

October 17, 2001 - October 2, 2003

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

November 30, 2000 - October 2, 2001

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
California
(1/23/2023)
IAR
California
(3/31/2025)
RR
Idaho
(1/3/2025)
RR
Illinois
(5/4/2023)
RR
Nevada
(1/3/2025)
RR
Texas
(3/1/2024)
IAR
Texas
(3/31/2025)
RR
Virginia
(1/3/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/24/2008
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/29/2005
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/29/2000
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)
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Contact information

Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291

SEC notice filing (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)
FIDELITY STRATEGIC DISCIPLINES (11/10/2025)
FIDELITY WEALTH SERVICES (9/10/2025)
STRATEGIC ADVISERS LLC (9/10/2025)
FIDELITY MANAGED FIDFOLIOS (3/31/2025)
FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)
FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,486,631
AUM (Assets Under Management)$ 1,067,664,605,590

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/24/2025
Cover Page
Report

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

STRATEGIC ADVISERS LLC

CRD#: 104555Thousand Oaks, CA

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