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Detailed Report
KYLE ROBERT FRANKLIN
CRD#: 1255175
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Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20002002200420062008201020122014201620182020IAHILLTOP SECURITIES INC. (CRD# 6220)2017 - 2019 (2 years)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2013 - 2017 (3 years)IACETERA ADVISORS LLC (CRD# 10299)2010 - 2013 (3 years)IANEXT FINANCIAL GROUP, INC. (CRD# 46214)2009 - 2010 (1 year)IAFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2008 - 2009 (<1 year)IAPENSION PLANNERS SECURITIES, INC. (CRD# 14068)2002 - 2008 (6 years)
Disclosure(s)
View By:
9/11/2020
Customer Dispute
Settled
4/10/2018
Customer Dispute
Settled
4/7/1999
Customer Dispute
Settled
Previous Registration(s)
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 02/01/2017 - 08/22/2019 HILLTOP SECURITIES INC. (CRD#:6220) Roseville, CA
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 10/18/2013 - 02/01/2017 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) CAMERON PARK, CA
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 06/11/2010 - 10/15/2013 CETERA ADVISORS LLC (CRD#:10299) CAMERON PARK, CA
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 01/09/2009 - 06/15/2010 NEXT FINANCIAL GROUP, INC. (CRD#:46214) CAMERON PARK, CA
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 08/13/2008 - 01/09/2009 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) CAMERON PARK, CA
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 03/05/2002 - 08/13/2008 PENSION PLANNERS SECURITIES, INC. (CRD#:14068) CAMERON PARK, CA
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.