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3750 Park East Dr Ste 200, Beachwood, OH 44122 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-02-11 |
| TX | RA | APPROVED_RES | 2016-11-01 |
| LA | RA | APPROVED | 2016-10-28 |
Branch Locations
660 White Plains Rd., Suite 530, Tarrytown, NY 10591 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nylife Securities Inc. | Rye | NY | 11/1995 | 10/2016 |
| J. M. Franklin & Company, Llc | White Plains | NY | 02/2002 | 10/2016 |
| Lpl Financial, Llc | Tarrytown | NY | 10/2016 | Present |
| Stratos Wealth Partners, Ltd | Tarrytown | NY | 11/2016 | Present |
1. 10/24/2016 - LPL Financial, LLC (Registered Representative) - Investment Related - At Reported Business Location (s) - 100% time spent between LPL Financial, LLC and Stratos Wealth Partners, Ltd. 2. 10/27/2016 - JM FRANKLIN & COMPANY LLC - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 9/2016 - Time Spent 100%. 3. 10/27/2016 - STRATOS WEALTH PARTNERS - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 9/2016 - 160 Hours Per Month During Securities Trading - Time Spent 100%. 4. 11/28/2016 - Stratos Wealth Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 9/2016 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - IAR - I provide investment advisory services through Stratos Wealth Partners, an independent investment advisor firm. I started this business activity in October 2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 12/8/2016 - Stratos Wealth Partners - DBA: (Hybrid) JM Franklin & Company LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 9/2016 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - IAR. 5. 10/18/2021 - JM Franklin & Company LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Broker - Started 10/27/2016 - 3 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-09-07 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-05 |
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