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Detailed Report
FRANKLIN HOM
CRD#: 1965728
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 600 Montgomery St
Ste 1600
SAN FRANCISCO, CA 94111
Registration History
19901995200020052010201520202025IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2010 - Present (15 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2007 - Present (17 years)BMORGAN STANLEY DW INC. (CRD# 7556)1989 - 2002 (13 years)
License(s)

State Registrations

B
California 1/2/2008
IA
California 3/30/2010

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
600 Montgomery St Ste 1600, SAN FRANCISCO, CA 94111
Registered with this firm since 3/30/2010
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
600 Montgomery St Ste 1600, SAN FRANCISCO, CA 94111
Registered with this firm since 4/2/2007
Previous Registration(s)
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B
 08/22/1989 - 10/22/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.