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Lesa Diane Franklin-Johnson
LESA DIANE FRANKLIN, LESA FRANKLIN, LESA DIANE FRANKLINJOHNSON, LESA D JOHNSON
CRD#: 1650042
IA
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EDWARD JONESCRD#: 250 4080 Truxel Road Suite 240
SACRAMENTO, CA 95834
SACRAMENTO, CA 95834
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1/25/2018
Judgment / Lien
12/3/2015
Judgment / Lien
State Registrations
B
Arizona 11/2/2009
B
Nevada 9/18/2012
B
Arkansas 11/2/2009
B
Oklahoma 11/2/2009
B
California 11/2/2009
B
Oregon 11/2/2009
IA
California 11/2/2009
B
Pennsylvania 1/2/2013
B
Connecticut 1/20/2017
B
Tennessee 6/2/2010
B
Hawaii 11/2/2009
B
Texas 6/18/2010
B
Idaho 11/2/2009
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Texas 1/17/2019
B
Massachusetts 1/27/2010
B
Washington 2/5/2015
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 11/2/2009
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Registered with this firm since 11/2/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 11/05/2009 | SACRAMENTO, CA | |
B | 06/01/2009 - 11/05/2009 | SACRAMENTO, CA | |
IA | 04/02/2007 - 06/01/2009 | SACRAMENTO, CA | |
B | 04/02/2007 - 06/01/2009 | SACRAMENTO, CA | |
IA | 11/12/2003 - 04/02/2007 | SACRAMENTO, CA | |
B | 11/12/2003 - 04/02/2007 | SACRAMENTO, CA | |
IA | 07/08/1997 - 11/26/2003 | SACRAMENTO, CA | |
B | 01/28/1995 - 11/26/2003 | WEEHAWKEN, NJ | |
B | 11/27/1989 - 01/28/1995 | NEW YORK, NY |
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B
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.