Articles Tagged with Robert Franden

Robert FrandenPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that Oklahoma-based Raymond James & Associates broker/adviser Robert Franden has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Franden (CRD# 2402061).

Robert Franden has spent 24 years in the securities industry and has been registered with Raymond James & Associates in Tulsa, Oklahoma since June 2018. Previous registrations include Morgan Stanley in Tulsa, Oklahoma (2009-2018); Morgan Stanley & Company in Tulsa, Oklahoma (2007-2009); Morgan Stanley DW in Tulsa, Oklahoma (2003-2007) Citigroup Global Markets in New York, New York (1998-2003); and Merrill Lynch in New York, New York (1993-1998). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 16, 1993; Series 63 (Uniform Securities Agent State Law Examination Nov 23, 1993), which he obtained on November 23, 1993; and Series 7 (General Securities Representative Examination), which he obtained on November 9, 1993. He is a registered broker and investment adviser with 26 US states and territories: Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Illinois, Kansas, Kentucky, Louisiana, Michigan, Minnesota, New Jersey, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, Tennessee, Texas, and Virginia. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.