Joshua M. Varon

FRANKLIN DISTRIBUTORS

NEW YORK, NY 10010

Some features on this profile are disabled

CRD#: 4692841

Professional summary

Joshua Marcus Varon, CFP® is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in New York, New York.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 2007. Joshua has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 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 Joshua Marcus Varon'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®

CFP^®

Certified Financial Planner

Experience

Current

July 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: One Madison Avenue, New York, NY 10010

CRD#: 109064

NEW YORK, NY

Past

January 5, 2017 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

NEW YORK, NY

Past

February 21, 2013 - December 13, 2016

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

PRINCETON, NJ

Past

May 1, 2012 - December 13, 2016

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

PRINCETON, NJ

Past

April 22, 2010 - April 12, 2012

FIRST EMPIRE SECURITIES, INC.

CRD#: 15129

HAUPPAUGE, NY

Past

April 19, 2010 - August 20, 2012

FIRST EMPIRE ASSET MANAGEMENT, INC

RIA

CRD#: 134411

HAUPPAUGE, NY

Past

January 29, 2008 - December 15, 2009

A.G. MORGAN FINANCIAL, LLC

RIA

CRD#: 134075

MASSAPEQUA, NY

Past

December 3, 2007 - October 16, 2009

OSAIC SERVICES, INC.

CRD#: 133763

MASSAPEQUA, NY

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

Alaska
(7/7/2021)

Arizona
(7/7/2021)

California
(7/7/2021)

Colorado
(1/27/2022)

Connecticut
(1/6/2022)

Florida
(7/7/2021)

Hawaii
(7/7/2021)

Idaho
(7/7/2021)

Illinois
(1/2/2025)

Iowa
(1/27/2022)

Kansas
(1/27/2022)

Minnesota
(1/27/2022)

Missouri
(1/27/2022)

Montana
(7/7/2021)

Nebraska
(1/27/2022)

Nevada
(7/7/2021)

New Mexico
(1/27/2022)

New York
(7/7/2021)

North Dakota
(1/27/2022)

Oklahoma
(1/27/2022)

Oregon
(7/7/2021)

South Dakota
(1/27/2022)

Texas
(1/27/2022)

Utah
(7/7/2021)

Washington
(7/7/2021)

Wisconsin
(1/27/2022)

Wyoming
(1/2/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/17/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/6/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/28/2008

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)

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

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joshua M. Varon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joshua Marcus Varon's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

FIRST EMPIRE SECURITIES, INC.

FIRST EMPIRE ASSET MANAGEMENT, INC

A.G. MORGAN FINANCIAL, LLC

OSAIC SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/17/2007

SIE

Date: 10/1/2018

Series 7

Date: 8/6/2007

Series 24

Date: 4/28/2008

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

Similar Advisors