Andrew A. Brosco

FRANKLIN DISTRIBUTORS

Austin, TX

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CRD#: 5851819

Professional summary

Andrew Augustus Brosco, AIF® is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Austin, Texas.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2011. Andrew has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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 Andrew Augustus Brosco'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 13, 2025 - Present

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

Austin, TX

Past

December 21, 2021 - January 9, 2025

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

Austin, TX

Past

December 21, 2021 - January 9, 2025

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

December 15, 2020 - December 6, 2021

AMUNDI ASSET MANAGEMENT US, INC.

RIA

CRD#: 107719

BOSTON, MA

Past

October 15, 2012 - December 31, 2020

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

May 29, 2012 - December 6, 2021

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

August 2, 2011 - May 29, 2012

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

ANDOVER, MA

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
(1/13/2025)

Alaska
(1/13/2025)

Arizona
(1/13/2025)

Arkansas
(1/13/2025)

California
(1/13/2025)

Colorado
(1/13/2025)

Connecticut
(1/13/2025)

Delaware
(1/13/2025)

District of Columbia
(1/13/2025)

Florida
(1/13/2025)

Georgia
(1/13/2025)

Hawaii
(1/13/2025)

Idaho
(1/13/2025)

Illinois
(1/13/2025)

Indiana
(1/13/2025)

Iowa
(1/13/2025)

Kansas
(1/13/2025)

Kentucky
(1/13/2025)

Louisiana
(1/13/2025)

Maine
(1/13/2025)

Maryland
(1/13/2025)

Massachusetts
(1/13/2025)

Michigan
(1/13/2025)

Minnesota
(1/13/2025)

Mississippi
(1/13/2025)

Missouri
(1/13/2025)

Montana
(1/13/2025)

Nebraska
(1/13/2025)

Nevada
(1/13/2025)

New Hampshire
(1/13/2025)

New Jersey
(1/13/2025)

New Mexico
(1/13/2025)

New York
(1/13/2025)

North Carolina
(1/13/2025)

North Dakota
(1/13/2025)

Ohio
(1/14/2025)

Oklahoma
(1/13/2025)

Oregon
(1/13/2025)

Pennsylvania
(1/13/2025)

Puerto Rico
(1/13/2025)

Rhode Island
(1/13/2025)

South Carolina
(1/13/2025)

South Dakota
(1/13/2025)

Tennessee
(1/13/2025)

Texas
(1/13/2025)

Utah
(1/13/2025)

Vermont
(1/13/2025)

Virgin Islands
(1/13/2025)

Virginia
(1/13/2025)

Washington
(1/13/2025)

West Virginia
(1/13/2025)

Wisconsin
(1/13/2025)

Wyoming
(1/13/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/9/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/23/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/24/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/1/2011

Investment Company Products/Variable Contracts 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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Firm Stability Insights

Andrew A. Brosco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Augustus Brosco's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

AMUNDI ASSET MANAGEMENT US, INC.

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI DISTRIBUTOR US, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2012

Series 63

Date: 8/23/2011

SIE

Date: 10/1/2018

Series 7

Date: 7/24/2012

Series 6

Date: 8/1/2011

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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