Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Daven Franz is a financial professional with over 30 years of experience in the industry. John currently holds a registration with Wells Fargo Securities, LLC, and has previously held positions with several other firms including Jefferies LLC, S.J. Levinson & Sons LLC, BANC OF AMERICA SECURITIES LLC, HAMBRECHT & QUIST LLC, MONTGOMERY SECURITIES, GREAT WESTERN FINANCIAL SECURITIES CORPORATION, and LINSCO/PRIVATE LEDGER CORP. John holds a variety of licenses and certifications, including the Series 6, 7, 52TO, 55, 57TO, 82TO, 99TO, and SIE exams. John is currently registered as a broker-dealer in all 50 states and the District of Columbia.
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.
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.
1
2
CA
11/03/2020 - Present
Wells Fargo Securities, LLC (SAN FRANCISCO CA)
CA
08/22/2012 - 11/12/2020
JEFFERIES LLC (SAN FRANCISCO CA)
CA
04/28/2009 - 08/10/2012
S.J. LEVINSON & SONS LLC (SAN FRANCISCO CA)
CA
05/03/1999 - 04/06/2009
BANC OF AMERICA SECURITIES LLC (SAN FRANCISCO CA)
CA
09/20/1996 - 05/13/1999
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
CA
07/25/1994 - 09/11/1996
MONTGOMERY SECURITIES (SAN FRANCISCO CA)
CA
10/29/1992 - 07/29/1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
SC
05/12/1992 - 03/04/1993
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
BC
Issued 05/06/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/27/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/04/1994
Series 7 - General Securities Representative Examination
BC
Issued 05/01/1992
Series 6 - Investment Company Products/Variable Contracts 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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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