Theodore Franse, financial advisor Milpitas CA
58 score

Theodore Franse

CRD Number: 1418012
Current Firm: Ni Advisors

Theodore Franse (CRD# 1418012) is an Investment Advisor Representative working at Ni Advisors in Milpitas, CA and has over 20 years of experience in the finance industry.

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Company Name Location Dates Years
Ni Advisors, Inc. Milpitas, CA Aug 2017 - Current < 1
Sandlapper Securities, LLC Greenville, SC Apr 2017 - Jul 2017 < 1
Sandlapper Wealth Management, LLC Greenville, SC Apr 2017 - Jul 2017 < 1
Independent Financial Group Fair Oaks, CA Jun 2013 - Apr 2017 3
First Allied Advisory Services, Inc. Chesterfield, MO Jul 2012 - Jun 2013 < 1
First Allied Securities, Inc. San Diego, CA Feb 2006 - Jun 2013 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1997
S65 NASAA Investment Advisors Law Examination Sep 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Theodore H. Franse
Phone Number: 510-306-7777
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA

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BADGES
58

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