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Franklin Hom

Northwestern Mutual Investment Services, LLC

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About Franklin Hom

Franklin Hom is a financial professional who has been active in the financial services industry since January 1994. Franklin is currently registered with Northwestern Mutual Investment Services, LLC and is licensed to provide investment advice in California. Franklin has experience in the financial services industry, including experience at Morgan Stanley DW Inc. Franklin holds a Series 63, Series 66, Series 7, Series 9, and Series 10 license. Franklin is committed to providing personalized financial advice to help clients achieve their financial goals.

Firm Information

Franklin Hom is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Franklin Hom’s Registration & Firm History

CA

03/30/2010 - Present

Northwestern Mutual Investment Services, LLC (SAN FRANCISCO CA)

NY

08/22/1989 - 10/22/2002

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BOTH

Issued 03/20/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/22/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/14/2009

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 09/12/2009

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/19/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Franklin Hom.
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