Robert Franklin Email & Phone Number
Chief Compliance Officer @ Equity Services, Inc.
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Robert Franklin Location
- Montpelier, VT, US
Robert Franklin Work
- Chief Compliance Officer @ (September 2023 - Present)
- Senior Manager @ (May 2023 - September 2023)
- AVP, Compliance AML Officer @ Kestra Financial (FKA NFP Advisor Services) (April 2016 - May 2023)
- AVP, Broker Dealer Compliance and AML Officer @ NFP Advisor Services (June 2015 - April 2016)
- Director, Broker-Dealer Compliance and AML Officer @ NFP Advisor Services (July 2012 - June 2015)
- Compliance Manager @ (January 2010 - December 2012)
- Compliance @ (January 2009 - December 2010)
- Compliance Manager @ (January 2007 - December 2009)
- Compliance Manager @ (January 2004 - December 2007)
- Compliance Officer @ Williams Financial Group (January 2002 - December 2004)
- Compliance Manager @ (January 1999 - January 2002)
Robert Franklin Education
- Texas Tech University
POLS (Political Science and Government)
1993-1997
Robert Franklin Skills
- Investment Advisory
- Broker Dealer
- Alternative Investments
- Risk Management
- Securities
- Real Estate
- Due Diligence
- Anti Money Laundering
- Marketing
- Project Management
- Asset Management
- Compliance
- Series 24
- Financial Services
- Financial Risk
- Mutual Funds
- FINRA
- Insurance
- AML
- Investments
- Series 63
- Equities
- Internal Audit
- Uniform Combined State Law
- Series 65
- Series 7
- Microsoft Office
- Wealth Management
- Microsoft Excel
Robert Franklin Summary
- Robert Franklin, based in Montpelier, VT, US, is currently a Chief Compliance Officer at Equity Services, Inc.. Robert Franklin brings experience from previous roles at Essential Edge Compliance Outsourcing Services, LLC, Kestra Financial (FKA NFP Advisor Services) and NFP Advisor Services. Robert Franklin holds a 1993 - 1997 POLS in Political Science and Government @ Texas Tech University. With a robust skill set that includes Investment Advisory, Broker Dealer, Alternative Investments, Risk Management, Securities and more. Robert Franklin has 3 emails and 1 mobile phone numbers on RocketReach.
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