Wesley Sun

FRANKLIN DISTRIBUTORS

St. Petersburg, FL 33716

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CRD#: 5040361

Professional summary

Wesley Sun, CIMA® is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in St. Petersburg, Florida.

Wesley is registered as a RR (Registered Representative) and started their career in finance in 2006. Wesley has worked at 9 firms and has passed the Series 66, SIE, Series 3 and Series 7 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 Wesley Sun'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 10, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 100 Fountain Parkway, St. Petersburg, FL 33716

CRD#: 109064

St. Petersburg, FL

Past

December 21, 2020 - August 6, 2021

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

MONMOUTH JUNCTION, NJ

Past

December 14, 2020 - August 6, 2021

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

September 26, 2019 - March 25, 2021

RAFFERTY ASSET MANAGEMENT, LLC

RIA

CRD#: 112526

NEW YORK, NY

Past

April 3, 2018 - November 5, 2020

FORESIDE FUND SERVICES, LLC

CRD#: 46106

NEW YORK, NY

Past

May 27, 2015 - March 6, 2018

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

NEW YORK, NY

Past

May 20, 2015 - March 6, 2018

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

September 29, 2006 - October 17, 2013

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

PLAINSBORO, NJ

Past

September 29, 2006 - October 17, 2013

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

PRINCETON, NJ

Past

March 27, 2006 - September 29, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA

CRD#: 105068

PLAINSBORO, NJ

Past

January 18, 2006 - September 29, 2006

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, 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

Alabama
(9/15/2021)

Alaska
(9/15/2021)

Arizona
(9/15/2021)

Arkansas
(9/15/2021)

California
(9/10/2021)

Colorado
(9/15/2021)

Connecticut
(9/10/2021)

Delaware
(9/15/2021)

District of Columbia
(9/15/2021)

Florida
(9/10/2021)

Georgia
(9/15/2021)

Hawaii
(9/15/2021)

Idaho
(9/15/2021)

Illinois
(9/15/2021)

Indiana
(9/15/2021)

Iowa
(9/15/2021)

Kansas
(9/15/2021)

Kentucky
(9/15/2021)

Louisiana
(9/15/2021)

Maine
(9/15/2021)

Maryland
(9/10/2021)

Massachusetts
(9/15/2021)

Michigan
(9/15/2021)

Minnesota
(9/15/2021)

Mississippi
(9/15/2021)

Missouri
(9/15/2021)

Montana
(9/15/2021)

Nebraska
(9/15/2021)

Nevada
(9/15/2021)

New Hampshire
(9/15/2021)

New Jersey
(9/10/2021)

New Mexico
(9/15/2021)

New York
(9/10/2021)

North Carolina
(9/15/2021)

North Dakota
(9/15/2021)

Ohio
(9/16/2021)

Oklahoma
(9/15/2021)

Oregon
(9/15/2021)

Pennsylvania
(9/15/2021)

Rhode Island
(9/15/2021)

South Carolina
(9/15/2021)

South Dakota
(9/15/2021)

Tennessee
(9/15/2021)

Texas
(9/15/2021)

Utah
(9/15/2021)

Vermont
(9/15/2021)

Virginia
(9/15/2021)

Washington
(9/15/2021)

West Virginia
(9/15/2021)

Wisconsin
(9/15/2021)

Wyoming
(9/15/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 3/20/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/12/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/17/2006

General Securities Representative 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

Wesley Sun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wesley Sun's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA INVESTMENT MANAGEMENT CO. LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

RAFFERTY ASSET MANAGEMENT, LLC

FORESIDE FUND SERVICES, LLC

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

MERRILL LYNCH INVESTMENT MANAGERS LP

FAM DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/20/2006

SIE

Date: 10/1/2018

Series 3

Date: 6/12/2018

Series 7

Date: 1/17/2006

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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