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JL

Jason T. Larocco

FRANKLIN DISTRIBUTORS
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 4633350
JL

Professional summary

Jason Thomas Larocco, CFA is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Stamford, Connecticut.

Jason is registered as a RR (Registered Representative) and started their career in finance in 2003. Jason has worked at 7 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 7, Series 62, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Jason Thomas Larocco'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®
CFA

Chartered Financial Analyst

Experience

Current

July 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 100 First Stamford Place, Stamford, CT 06902
BD
CRD#: 109064
Stamford, CT
Past

November 27, 2018 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
Stamford, CT
Past

March 23, 2015 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
Stamford, CT
Past

December 15, 2005 - February 5, 2015

CLEARBRIDGE INVESTMENTS, LLC

RIA
CRD#: 137028
NEW YORK, NY
Past

December 1, 2005 - February 5, 2015

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
STAMFORD, CT
Past

November 18, 2005 - December 19, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
STAMFORD, CT
Past

November 18, 2005 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
STAMFORD, CT
Past

May 26, 2005 - October 21, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
HAMDEN, CT
Past

May 12, 2005 - October 21, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

May 28, 2003 - March 29, 2005

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
FAIRFIELD, CT
Past

February 17, 2003 - March 29, 2005

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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
(7/7/2021)
RR
Connecticut
(11/3/2021)
RR
Florida
(1/10/2022)
RR
Georgia
(1/10/2022)
RR
Illinois
(1/10/2022)
RR
Massachusetts
(1/10/2022)
RR
Michigan
(1/10/2022)
RR
Minnesota
(1/10/2022)
RR
New Jersey
(1/10/2022)
RR
New York
(7/7/2021)
RR
Ohio
(1/10/2022)
RR
Pennsylvania
(1/10/2022)
RR
Rhode Island
(1/10/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/9/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/21/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 12/20/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/31/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 1/20/2004
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/14/2003
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/19/2019
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#: 109064Stamford, CT 06902

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