Franklin S. Foreman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Franklin Samuel Foreman JR, who also goes by Franklin Samuel Foreman, was a registered financial professional .
Franklin is a previously registered financial professional and started their career in finance in 1977. Franklin had worked at 3 firms and has passed the Series 63, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 1995 - July 11, 1997
FERRIS, BAKER WATTS, LLC
September 26, 1978 - August 1, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 5, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
FERRIS, BAKER WATTS, LLC
CRD#: 285 / SEC#: , 8-16427
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC CAPITAL MARKETS CORPORATION | 100% OWNER | 31194 |
| CHAPMAN, JAMES DOUGLAS | CEO | 728296 |
| COQUELIN, WILLIAM CARL | CHIEF INFORMATION OFFICER | |
| DIRZUWEIT, LENEE BETH | ROSFP | 2480492 |
| HARTMAN, CRAIG ROBERT | CFO | 4413090 |
| KAVANAGH, MICHAEL ROBERT | DIRECTOR | 1021014 |
| KERMEEN, DEBORAH JOY | COO | 2235924 |
| LEAVERTON, KARL VERNON | DIRECTOR | 1106831 |
| RUTHERFORD, PATRICIA ANN | CHIEF COMPLIANCE OFFICER | 5059176 |
| TAFT, JOHN GODFREY | DIRECTOR | 1007933 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 18 |
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.
