Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Franklin is a registered representative and investment advisor representative. Stephen Franklin is a financial professional who is licensed to provide financial advice in the state of Kentucky. Stephen Franklin is currently employed with Northwestern Mutual Investment Services, LLC, where Stephen Franklin has worked since February 14, 2024. Stephen Franklin also previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Stephen Franklin is licensed to offer a wide range of financial products and services, including Series 6, Series 7, Series 63 and Series 6TO exams.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
KY
02/14/2024 - Present
Northwestern Mutual Investment Services, LLC (LOUISVILLE KY)
KY
04/30/2008 - 06/26/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOUISVILLE KY)
BC
Issued 01/03/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/21/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 11/11/2023
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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