Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Franklin? Claim Your ProfileFranklin Breazeale is a financial advisor who has been in the industry since November 1992. Franklin is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with this firm since February 2011. Previously, Franklin has worked with MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC. and LEHMAN BROTHERS INC. Franklin has a wide range of experience and is registered in multiple states. Franklin has a diverse client base and provides various advisory services, including portfolio management for businesses and individuals, pension consulting, and educational seminars.
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.
Guidance on pension options to ensure a secure financial future.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
02/17/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
06/01/2009 - 02/28/2011
MORGAN STANLEY SMITH BARNEY (HOUSTON TX)
TX
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
NY
11/02/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 12/21/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/02/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/27/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2002
Series 3 - National Commodity Futures Examination
BC
Issued 10/30/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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