Patty Franklin

CRD 4254934 · Fidelity Brokerage Services LLC · Thousand Oaks, CA

IA RegisteredBroker

Also appears in the source record as: Patty S Franklin; Patty Sung Franklin; Patty Sung Wood; Patty Sung Yu; Sung Yon Yu

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 6TOSIESeries 7Series 6Series 63Series 65
Registered states (6): California · Colorado · Nevada · New York · Tennessee · Texas
Years in the industry (source record): 22
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4254934 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (19)

From the source registration record · current first

Strategic Advisers LLCCurrent
Thousand Oaks, CA · IA capacity

start not retrieved → present
Fidelity Brokerage Services LLCCurrent
Thousand Oaks, CA · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
Thousand Oaks, CA · IA capacity

Jan 30, 2023 → Mar 31, 2025
Strategic Pe Advisors LLC
Newbury Park, CA · IA capacity

Feb 27, 2019 → Jan 16, 2023
Emerson Equity LLC
Newbury Park, CA · IA capacity

Nov 16, 2015 → Jan 12, 2023
Emerson Equity LLC
Westlake Village, CA · BC capacity

Nov 16, 2015 → Jan 12, 2023
Td Ameritrade, Inc.
Thousand Oaks, CA · IA capacity

Nov 2, 2010 → Jan 27, 2014
Amerivest Investment Management, LLC
Thousand Oaks, CA · IA capacity

Nov 2, 2010 → Jan 27, 2014
Td Ameritrade, Inc.
Thousand Oaks, CA · BC capacity

Nov 2, 2010 → Jan 27, 2014
Cambridge Investment Research Advisors, Inc.
West Hills, CA · IA capacity

Jul 20, 2009 → Nov 3, 2010
Cambridge Investment Research, Inc.
West Hills, CA · BC capacity

Jul 20, 2009 → Nov 3, 2010
Ubs Financial Services Inc.
Woodland Hills, CA · BC capacity

Mar 12, 2008 → Jan 27, 2009
Ubs Financial Services Inc.
Woodland Hills, CA · IA capacity

Feb 11, 2008 → Jan 27, 2009
Simon Securities Investment Advisors, LLC
West Hills, CA · IA capacity

May 11, 2007 → Dec 31, 2007
Pound Financial, LLC
Ventura, CA · IA capacity

Feb 2, 2006 → Apr 13, 2007
Linsco/Private Ledger Corp.
Fort Mill, SC · BC capacity

Feb 10, 2004 → Sep 30, 2005
Federal Street Investments, Inc.
Beverly, MA · BC capacity

Oct 15, 2003 → Jan 12, 2004
Edward Jones
St. Louis, MO · BC capacity

Oct 17, 2001 → Oct 2, 2003
Sunamerica Capital Services, Inc.
Jersey City, NJ · BC capacity

Nov 30, 2000 → Oct 2, 2001

Source & corrections

Where this page comes from

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