TF
Tyler Franks
LPL ENTERPRISE
ENGLEWOOD, CO 80112
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CRD#: 6566307
TF
Tyler FranksLPL ENTERPRISE
Professional summary
Tyler Franks, who also goes by Tyler Louis Franks, Tyler L Franks, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Englewood, Colorado.
Tyler is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Tyler has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Aliases
Tyler Louis Franks | Tyler L Franks
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.
1. 8/10/2026 - TYLER FRANKS N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Denver CO - OBA Start date: 07/09/2026 - 160 Hour(s)/Month – 160 Hour(s) During Trading 2. 8/10/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Denver CO - OBA Start date: 07/09/2026 - 160 Hour(s)/Month – 160 Hour(s) During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Tyler Franks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tyler 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®
NoneExperience
Current
August 12, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 8000 S Chester Street Suite 325, Englewood, CO 80112RIA
BD
CRD#: 8733
ENGLEWOOD, CO
Current
August 12, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 8000 S Chester Street Suite 325, Englewood, CO 80112RIA
BD
CRD#: 8733
ENGLEWOOD, CO
Past
May 26, 2026 - July 24, 2026
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
LAKEWOOD, CO
Past
May 21, 2026 - July 24, 2026
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
LAKEWOOD, CO
Past
February 10, 2025 - January 21, 2026
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
GREENWOOD VILLAGE, CO
Past
February 7, 2025 - January 21, 2026
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
GREENWOOD VILLAGE, CO
Past
July 13, 2021 - June 28, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
GREENWOOD VILLAGE, CO
Past
June 16, 2021 - June 28, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GREENWOOD VILLAGE, CO
Past
December 3, 2018 - October 28, 2019
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
GREENWOOD VILLAGE, CO
Past
October 26, 2018 - October 28, 2019
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
November 9, 2015 - September 27, 2018
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GREENWOOD VILLAGE, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
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
RR
Colorado(8/12/2026)
IAR
Colorado(8/12/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
