Hugo Petricioli

FRANKLIN DISTRIBUTORS

Miami, FL 33131

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CRD#: 4386953

Professional summary

Hugo Petricioli, who also goes by Hugo Petricioli Castellon, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Miami, Florida.

Hugo is registered as a RR (Registered Representative) and started their career in finance in 2001. Hugo has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Hugo Petricioli Castellon

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 Hugo Petricioli'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 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 1395 Brickell Ave Suite 1550, Miami, FL 33131

CRD#: 109064

Miami, FL

Past

August 9, 2007 - March 13, 2012

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

July 27, 2007 - July 7, 2021

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

CRD#: 27884

SAN MATEO, CA

Past

July 18, 2007 - August 3, 2007

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

April 1, 2005 - June 15, 2007

LEVELX CAPITAL LLC

CRD#: 117028

BROOKLYN, NY

Past

May 10, 2004 - April 1, 2005

EDIFICE CAPITAL, INC.

CRD#: 105093

MIAMI, FL

Past

August 24, 2001 - March 8, 2004

BANORTE SECURITIES INTERNATIONAL, LTD.

CRD#: 30648

HOUSTON, TX

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
(7/7/2021)

Florida
(7/7/2021)

New York
(7/7/2021)

Texas
(7/7/2021)

Exams

State Security Law Exam

Series 63

Date: 12/13/2007

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: 8/4/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/1/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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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

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Hugo Petricioli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Hugo Petricioli's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

LEVELX CAPITAL LLC

EDIFICE CAPITAL, INC.

BANORTE SECURITIES INTERNATIONAL, LTD.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/13/2007

SIE

Date: 10/1/2018

Series 7

Date: 8/4/2001

Series 24

Date: 10/1/2002

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

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