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Lesa Diane Franklin-Johnson

Edward Jones

Sacramento, CA

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Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-17
CA RA APPROVED 2009-11-02
  • TX RA
    APPROVED_RES
    Since 2019-01-17
  • CA RA
    APPROVED
    Since 2009-11-02

Branch Locations

4080 Truxel Rd, Suite 240, Sacramento, CA 95834 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones St Louis MO 11/2009 Present
Previous Registrations
  • 2009-06-01 → 2009-11-05
    Morgan Stanley
    Sacramento, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Sacramento, CA
  • 2003-11-12 → 2007-04-02
    Morgan Stanley Dw Inc.
    Sacramento, CA
    Sacramento, CA
  • 1997-07-08 → 2003-11-26
    Ubs Financial Services Inc.
    Sacramento, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-29
S63 Uniform Securities Agent State Law Examination 1989-12-04
  • S65 Uniform Investment Adviser Law Examination
    1997-10-29
  • S63 Uniform Securities Agent State Law Examination
    1989-12-04
Other Names
  • Lesa Franklin
  • Lesa Diane Franklin
  • Lesa D Johnson
  • Lesa Diane Franklinjohnson

View on SEC IAPD

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