Frank J. 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.
Frank James Franklin was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2010. Frank had worked at 4 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2013 - August 1, 2013
ON INVESTMENT MANAGEMENT CO
January 8, 2013 - August 1, 2013
THE O.N. EQUITY SALES COMPANY
November 1, 2011 - July 13, 2012
CHASE INVESTMENT SERVICES CORP.
October 28, 2011 - July 13, 2012
CHASE INVESTMENT SERVICES CORP.
November 24, 2010 - September 8, 2011
MORGAN STANLEY
October 21, 2010 - September 8, 2011
MORGAN STANLEY
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
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
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
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.
