Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Franklin? Claim Your ProfileFranklin Rockwood is a financial advisor with Fidelity Personal And Workplace Advisors. Franklin has been in the industry since 1992 and has experience in a variety of financial services roles. Franklin holds Series 6, 7, 63, 66, and SIE licenses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
UT
09/16/2020 - Present
Fidelity Personal AND Workplace Advisors (SALT LAKE CITY UT)
UT
06/30/2008 - 12/17/2009
METLIFE SECURITIES INC. (SANDY UT)
UT
03/31/2003 - 04/09/2008
EQUITRUST MARKETING SERVICES, LLC (SALT LAKE CITY UT)
CO
05/19/1999 - 12/31/1999
UNITED SECURITIES ALLIANCE, INC. (GREENWOOD VILLAGE CO)
NY
09/23/1997 - 12/31/1998
NEW ENGLAND SECURITIES (NEW YORK NY)
GA
03/15/1996 - 08/11/1997
WMA SECURITIES, INC. (DULUTH GA)
UT
01/16/1992 - 04/13/1994
FIRST SECURITY INVESTOR SERVICES, INC. (SALT LAKE CITY UT)
NY
08/11/1989 - 01/15/1992
MONY SECURITIES CORP. (NEW YORK NY)
NY
08/11/1989 - 10/15/1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK (NEW YORK NY)
BOTH
Issued 09/04/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/17/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/10/2020
Series 7TO - General Securities Representative Examination
BC
Issued 12/06/2019
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 11/19/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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