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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Edward Franklin is a financial advisor with UBS Financial Services Inc., working in the Brea, CA office. John has been in the industry since 1988 and is registered with the state of California. John has experience providing investment advice to a variety of clients, including individuals, businesses, and institutions. John holds a Series 7, Series 24, Series 53, Series 63, Series 72 and SIE licenses. John is also a Registered Investment Advisor. John has worked at other firms, including FIRST INTERSTATE CAPITAL MARKETS, INC., L. F. ROTHSCHILD, UNTERBERG, TOWBIN, INC., AMERICAN DIVERSIFIED SECURITIES CORP., SHEARSON/AMERICAN EXPRESS INC., and COMARK SECURITIES, INC.
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.
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.
See schedule d - miscellaneous
1
2
CA
07/08/1997 - Present
UBS Financial Services Inc. (BREA CA)
NA
10/06/1986 - 02/03/1988
FIRST INTERSTATE CAPITAL MARKETS, INC.
NA
04/29/1986 - 06/10/1986
L. F. ROTHSCHILD, UNTERBERG, TOWBIN, INC.
NA
12/20/1985 - 04/01/1986
AMERICAN DIVERSIFIED SECURITIES CORP.
NA
11/17/1982 - 06/24/1983
SHEARSON/AMERICAN EXPRESS INC.
NA
07/02/1982 - 12/01/1982
E. F. HUTTON & COMPANY INC
NA
07/20/1981 - 08/13/1982
COMARK SECURITIES, INC.
BC
Issued 07/07/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/09/1989
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/04/1987
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1981
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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