David Paterson
Professional summary
David Paterson is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in San Mateo, California.
David is registered as a RR (Registered Representative) and started their career in finance in 2018. David has worked at 5 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Paterson's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 28, 2020 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: One Franklin Parkway, San Mateo, CA 94403-1906January 3, 2024 - August 30, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
December 17, 2018 - July 7, 2021
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
December 17, 2018 - February 8, 2022
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
December 17, 2018 - September 29, 2023
TEMPLETON/FRANKLIN INVESTMENT SERVICES,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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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