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Richard Bonafield Franz

Other Names: Richard Bonafield Franz II, Rick Franz II
Firm:
Howe Barnes Capital Management, Inc.
Treasurer / Senior Vice President
Additional Firms:
Raymond James & Associates, Inc.
Chief Financial Officer/Treasurer
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Description

Richard Franz is an executive and has an ownership stake of Raymond James & Associates, Inc., a broker-dealer with over 3,550 registered representatives nationwide. Richard is also registered with Raymond James Financial Services Advisors, Inc, a $29B dollar RIA based in St Petersburg, FL, Raymond James Financial Services, Inc., a broker-dealer with over 4,500 registered representatives nationwide and Howe Barnes Capital Management, Inc., a $1B dollar RIA based in Chicago, IL. Richard has held an industry securities registration for less than a year and is subject to FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Richard Bonafield Franz has not answered any questions on Financial Q&A.

Top Guides

Richard Bonafield Franz has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Howe Barnes Capital Management, Inc. 2 years, 1 month May 2011 - Present
Raymond James & Associates, Inc. 9 years, 5 months Jan 2004 - Present
Raymond James Financial Services Advisors, Inc 10 years, 7 months Nov 2002 - Present
Raymond James Financial Services, Inc. 10 years, 7 months Nov 2002 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
FINRA
License Status
Registered
Disclosures

No Disclosures Found
As of Date
01/28/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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There is currently no information available.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Commissions