Adam Franco

LEVEL MARKETS

Boston, MA 02110

Some features on this profile are disabled

CRD#: 4316586

Professional summary

Adam Franco is a registered financial professional currently at LEVEL MARKETS, LLC located in Boston, Massachusetts.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2000. Adam has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Adam Franco's 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

September 12, 2016 - Present

LEVEL MARKETS, LLC

Office #1: 99 Summer Street Suite 1700, Boston, MA 02110

CRD#: 171752

Boston, MA

Past

February 24, 2015 - October 9, 2015

BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC

CRD#: 114212

DENVER, CO

Past

March 20, 2006 - September 22, 2014

LIQUIDNET, INC.

CRD#: 103987

NEW YORK, NY

Past

October 29, 2004 - March 15, 2006

UBS SECURITIES LLC

CRD#: 7654

JERSEY CITY, NJ

Past

February 2, 2004 - November 1, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

January 15, 2002 - May 14, 2002

GRAYSON FINANCIAL LLC

CRD#: 11764

RED BANK, NJ

Past

December 21, 2000 - January 7, 2002

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

State Registrations and Notice Filings

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

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

California
(9/19/2016)

Colorado
(9/19/2016)

Connecticut
(9/19/2016)

Georgia
(9/19/2016)

Illinois
(9/19/2016)

Maryland
(9/19/2016)

Massachusetts
(9/12/2016)

New Jersey
(9/19/2016)

New York
(9/12/2016)

North Carolina
(9/19/2016)

Ohio
(9/19/2016)

Pennsylvania
(9/19/2016)

Texas
(9/19/2016)

Virginia
(9/19/2016)

Exams

State Security Law Exam

Series 63

Date: 1/5/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LEVEL MARKETS, LLC

BEACON TRADING & ANALYTICS LLC | LUMINEX TRADING & ANALYTICS LLC | LEVEL MARKETS, LLC | KEZAR TRADING, LLC

CRD#: 171752 / SEC#: , 8-69476

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

99 Summer Street Suite 1700, Boston, MA 02110

Mailing Address

99 Summer Street Suite 1700, Boston, MA 02110

Phone number

(617) 286-8080

Established

Delaware since 04/28/2014

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
LEVEL HOLDINGS, LLC	OWNER
DOLAN, JAMES CHRISTOPHER	CHIEF COMPLIANCE OFFICER	3219968
HAGEN, DAVID WALTER	CHIEF PRODUCT OFFICER	2101752
LINARES, JOHN FITZGERALD	GENERAL COUNSEL, CORPORATE SECRETARY	3104547
MIELE, STEPHEN R	CHIEF EXECUTIVE OFFICER	2645590
STUPAY, MICHAEL ELLIOT	FINOP,PRINCIPAL OPERATIONS OFFICER, PRINCIPAL FINANCIAL OFFICER	2287906

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.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Adam Franco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Franco's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC

LIQUIDNET, INC.

UBS SECURITIES LLC

CHARLES SCHWAB & CO., INC.

GRAYSON FINANCIAL LLC

J.P. TURNER & COMPANY, L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/5/2001

SIE

Date: 10/1/2018

Series 7

Date: 12/20/2000

FINRA

Current Firm

LEVEL MARKETS, LLC

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

LEVEL MARKETS, LLC

TRUST BUT VERIFY

Similar Advisors