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JOHN EDWARD FRANKLIN
CRD#: 734180
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 135 S. State College Blvd
Suite 650
BREA, CA 92821
Registration History
1980198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - Present (27 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1992 - Present (32 years)BFIRST INTERSTATE CAPITAL MARKE... (CRD# 17733)1986 - 1988 (1 year)BL. F. ROTHSCHILD, UNTERBERG, T... (CRD# 501)1986 - 1986 (<1 year)BAMERICAN DIVERSIFIED SECURITIE... (CRD# 14907)1985 - 1986 (<1 year)BSHEARSON/AMERICAN EXPRESS INC. (CRD# 7506)1982 - 1983 (<1 year)BE. F. HUTTON & COMPANY INC (CRD# 235)1982 - 1982 (<1 year)BCOMARK SECURITIES, INC. (CRD# 7254)1981 - 1982 (1 year)
Disclosure(s)
View By:
2/21/1995
Customer Dispute
Settled
3/30/1978
Criminal
Final Disposition
License(s)

State Registrations

B
California 7/9/1992

B
New Mexico 7/28/1992

IA
California 7/8/1997

B
Texas 5/12/2003

B
Colorado 1/31/2013

B
Virginia 10/21/2010

B
Louisiana 9/5/2023

B
Washington 10/22/1998

B
Michigan 8/5/2008

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
135 S. State College Blvd Suite 650, BREA, CA 92821
Yorba Linda, CA
Registered with this firm since 7/8/1997

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
135 S. State College Blvd Suite 650, BREA, CA 92821
Yorba Linda, CA
Registered with this firm since 7/1/1992

Previous Registration(s)
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B
Broker
IA
Investment Adviser
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.