Lisa M. Franks

L M FRANKS CAPITAL

Chestnut Hill, MA

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CRD#: 6296631

Professional summary

Lisa M Franks is a registered financial advisor currently at L M FRANKS CAPITAL located in Chestnut Hill, Massachusetts.

Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Lisa has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Seaver Property Holdings: Seaver Property Holdings is an LLC created to hold family real estate for estate planning purposes. I am the manager of the LLC. Freeman Franks Investments: Freeman Franks Investments is an art holding company that holds artworks or investment purposes. I am the manager of the LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa M Franks's 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®

None

Experience

Current

May 11, 2018 - Present

L M FRANKS CAPITAL

RIA

CRD#: 293434

Chestnut Hill, MA

Past

July 9, 2014 - April 30, 2018

TAYLOR WEALTH MANAGEMENT PARTNERS

RIA

CRD#: 170457

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(5/11/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/9/2014

Uniform Investment Adviser Law Examination

Current Firm

L M FRANKS CAPITAL

CRD#: 293434 / SEC#:

Massachusetts

Registered Investment Advisory firm - (5/11/2018 Approved)

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Contact information

Main Address

Chestnut Hill, MA

Mailing Address

Phone number

(617) 893-8008

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	28
AUM (Assets Under Management)	$ 40,000,000

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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Lisa M. Franks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa M Franks's CRS (Customer Relationship Summary).

Certified licenses

Experience

L M FRANKS CAPITAL

TAYLOR WEALTH MANAGEMENT PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/9/2014

Current Firm

L M FRANKS CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

L M FRANKS CAPITAL

TRUST BUT VERIFY

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