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CF

Christopher Franklin

FOLLA CAPITAL
Wilmington, NC 28403
Some features on this profile are disabled
CRD#: 7208098
CF

Professional summary

Christopher Franklin is a registered financial professional currently at FOLLA CAPITAL, LLC located in Wilmington, North Carolina.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2020. Christopher has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 28 and Series 14 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Christopher Franklin'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®
None

Experience

Current

November 5, 2020 - Present

FOLLA CAPITAL, LLC

Office #1: 3722 Shipyard Boulevard Suite E, Wilmington, NC 28403
BD
CRD#: 305140
Wilmington, NC

State Registrations and Notice Filings

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

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
North Carolina
(11/13/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 6/11/2020
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 28
Date: 8/17/2020
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 7/10/2020
Compliance Officer Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FOLLA CAPITAL, LLC
FOLLA CAPITAL, LLC

CRD#: 305140 / SEC#: , 8-70399

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
3722 Shipyard Boulevard, Suite E, Wilmington, NC 28403
Mailing Address
3722 Shipyard Boulevard, Suite E, Wilmington, NC 28403
Phone number
(910) 269-7564
Established
North Carolina since 07/03/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FRANKLIN, CHRISTOPHERCCO/FINOP
PANACCIONE, JOHN THOMASCTO7211958
SEIFERT, DONALD CLEMENS JRCEO

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.

Company Information

FOLLA CAPITAL, LLC

CRD#: 305140Wilmington, NC 28403

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