EF
Eric S. Franklin
ALLEN WEALTH MANAGEMENT
Boone, NC 28607
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CRD#: 4330425
EF
Professional summary
Eric Scott Franklin is a registered financial advisor currently at ALLEN WEALTH MANAGEMENT, LLC located in Boone, North Carolina and RAYMOND JAMES FINANCIAL SERVICES, INC. located in Boone, North Carolina.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Eric has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(1) Name of Business: Watauga Humane Society Address: 312 Paws Way, Boone, NC, 28607, United States Activity Type: Non-profit Position/Title: Committee Member Investment Related: Yes Start Date: 04/20/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: monthly meeting where i provide comments, opinion and feedback to other members regarding current holdings and general market info along with their current non-RJ financial advisor. i have no signatory or investment authority. (2) Name of Business: Watauga Humane Society Address: 980 Highway 105, Boone, NC, 28607-4603, United States Activity Type: Non-profit Position/Title: Committee Member Investment Related: Yes Start Date: 04/20/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Provide commentary and opinion during monthly meeting for investment committee. i have no signing authority and no investing authority as accounts are held away at another firm. (3)Name of Business: Allen Wealth Management Address: 980 Highway 105, Boone, NC, 28607, United States Activity Type: Independent RIA Position/Title: Associate/Employee Investment Related: Yes Start Date: 08/29/2014 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor
CRS (Client Relationship Summary) - RIA
Click below to view Eric Scott Franklin'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®
NoneExperience
Current
March 3, 2015 - Present
ALLEN WEALTH MANAGEMENT, LLC
Office #1: 980 Highway 105, Boone, NC 28607RIA
CRD#: 133038
Boone, NC
Current
August 29, 2014 - Present
RAYMOND JAMES FINANCIAL SERVICES, INC.
Office #1: 980 Highway 105, Boone, NC 28607BD
CRD#: 6694
Boone, NC
Past
September 11, 2014 - March 3, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
BOONE, NC
Past
July 1, 2014 - September 3, 2014
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
HICKORY, NC
Past
July 1, 2014 - September 3, 2014
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
HICKORY, NC
Past
May 18, 2011 - June 25, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BOONE, NC
Past
February 13, 2001 - June 25, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BOONE, NC
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".
AW
ALLEN WEALTH MANAGEMENT, LLC
ALLEN WEALTH MANAGEMENT, LLC
CRD#: 133038 / SEC#: 801-64431
RIA
Registered Investment Advisory firm - (6/20/2005 Approved)North Carolina
Registered Investment Advisory firm - (6/22/2005 Terminated)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
North Carolina(8/29/2014)
IAR
North Carolina(3/3/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ALLEN WEALTH MANAGEMENT, LLC
ALLEN WEALTH MANAGEMENT, LLC
CRD#: 133038 / SEC#: 801-64431
RIA
Registered Investment Advisory firm - (6/20/2005 Approved)North Carolina
Registered Investment Advisory firm - (6/22/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
980 Highway 105, Boone, NC 28607
Mailing Address
Phone number
(828) 268-9693
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,589 |
| AUM (Assets Under Management) | $ 553,948,253 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ALLEN WEALTH MANAGEMENT, LLC
CRD#: 133038Boone, NC 28607TRUST BUT VERIFY
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