Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Anthony Franz is an Investment Advisor Representative at RBC Capital Markets, LLC, a firm with over $50 billion in assets under management. John is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). John has been a registered representative since 1988. John has experience in the securities industry, including working at David A. Noyes & Company and Stifel, Nicolaus & Company, Incorporated.
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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
IN
08/25/2017 - Present
RBC Capital Markets, LLC (INDIANAPOLIS IN)
IN
01/30/2017 - 07/10/2017
DAVID A. NOYES & COMPANY (INDIANAPOLIS IN)
IN
01/03/2017 - 02/14/2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED (INDIANAPOLIS IN)
IN
02/24/2003 - 12/31/2016
CITY SECURITIES CORPORATION (INDIANAPOLIS IN)
IN
04/16/2012 - 04/16/2012
J.J.B HILLIARD, W.L. LYONS, LLC (CARMEL IN)
NY
01/15/1993 - 03/06/2003
SALOMON SMITH BARNEY INC. (NEW YORK NY)
OH
06/01/1988 - 01/26/1993
MERCHANTS SECURITIES COMPANY (CLEVELAND OH)
NA
05/04/1992 - 01/25/1993
NATIONAL CITY INVESTMENTS CORPORATION
IA
Issued 11/06/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/02/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/1993
Series 7 - General Securities Representative Examination
BC
Issued 05/31/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 04/01/1988
Series 52 - Municipal Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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