Jason B. Franklin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jason Bradford Franklin, who also goes by Brad Franklin, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2008. Jason had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2013 - December 9, 2014
SOURCE CAPITAL GROUP, INC.
December 3, 2012 - December 9, 2014
SOURCE CAPITAL GROUP, INC.
July 1, 2010 - December 23, 2010
MORGAN STANLEY
April 12, 2010 - December 23, 2010
MORGAN STANLEY
October 6, 2008 - April 22, 2010
HILTON SECURITIES CORPORATION
March 31, 2008 - October 10, 2008
UINTA INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
