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RG

Roger O. Goncalves

FRANKLIN DISTRIBUTORS
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 4579207
RG

Professional summary

Roger O. Goncalves, who also goes by Roger Goncalves, Roger Goncalvez, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in New York, New York.

Roger is registered as a RR (Registered Representative) and started their career in finance in 2002. Roger has worked at 11 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roger Goncalves | Roger Goncalvez

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 Roger O. Goncalves'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

August 1, 2020 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: One Madison Avenue, New York, NY 10010
BD
CRD#: 109064
NEW YORK, NY
Past

June 5, 2019 - July 7, 2021

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

BD
CRD#: 27884
NEW YORK, NY
Past

May 29, 2019 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
NEW YORK, NY
Past

May 28, 2019 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
NEW YORK, NY
Past

August 20, 2015 - May 22, 2019

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

June 16, 2014 - August 6, 2015

CABOT LODGE SECURITIES LLC

BD
CRD#: 159712
NEW YORK, NY
Past

January 17, 2012 - January 7, 2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

May 13, 2010 - January 17, 2012

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
NEW YORK, NY
Past

March 22, 2006 - April 22, 2010

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
NEW YORK, NY
Past

September 3, 2004 - April 22, 2010

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NEW YORK, NY
Past

November 17, 2003 - August 20, 2004

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
SHORT HILLS, NJ
Past

November 17, 2003 - August 20, 2004

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

January 2, 2003 - November 7, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
FAIRFIELD, NJ
Past

November 27, 2002 - November 7, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

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
(8/1/2020)
RR
Connecticut
(8/26/2020)
RR
Delaware
(8/1/2020)
RR
Florida
(8/1/2020)
RR
Massachusetts
(7/7/2021)
RR
New Jersey
(8/1/2020)
RR
New York
(8/1/2020)
RR
Pennsylvania
(8/7/2020)
RR
Texas
(8/1/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/20/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/31/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 11/26/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/5/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FD
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

BD
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)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
GAMBA, DANIEL ERNESTOCHIEF EXECUTIVE OFFICER4594704
MASOM, JEFFREY SCOTTPRESIDENT-DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546

Disclosures

Regulatory Event1

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

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064New York, NY 10010

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