James Franklin has been an investment adviser representative at Asset One Wealth Management since November 2025, and is not listed among the firm’s executive officers or direct owners.
Asset One Wealth Management, LLC is a Bellevue, WA firm with $983M under management, 1,173 clients and 9 advisers across 9 offices, as of its October 2026 filing.
James Franklin’s longest registration was 1 year at LPL Financial LLC (2024–2025). Before joining Asset One Wealth Management in 2025, James Franklin was registered through LPL Financial LLC.
- – present · under a yearDraper, UT · Adviser representative · Firm CRD 336350
- LPL Financial LLC– · 1 yearHighland, UT · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
James Franklin is registered as an investment adviser representative in Utah, since November 2025.
- UtahSince 4 November 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 19 April 2021 |
| Series 7TO | General Securities Representative Examination | 9 April 2021 |
| SIE | Securities Industry Essentials Examination | 22 October 2020 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- James P Franklin
- CRD
- 7327654
- Firm
- Asset One Wealth Management · CRD 336350
- Office
- 12459 S300 E, #102, Draper, UT 84020
- Registration
- Investment adviser registration
- In the industry since
- November 2021
- Disciplinary history
- Not yet shown here · SEC record
Where does James Franklin work?
James Franklin is an investment adviser representative registered through Asset One Wealth Management, LLC since November 2025, and is not listed among the firm’s executive officers or direct owners.
Is James Franklin a financial advisor?
Yes. James Franklin has a current investment-adviser registration in Utah, through Asset One Wealth Management since November 2025.
How many years of experience does James Franklin have?
James Franklin has 4 years in the financial industry, since November 2021, across 2 adviser firms.
What exams has James Franklin passed?
James Franklin has passed 3 licensing exams: the SIE, Series 7TO and Series 63. The earliest, the SIE, was passed in October 2020.
Where is James Franklin based?
James Franklin’s registered office is in Draper, UT.
Is James Franklin registered with FINRA?
No. James Franklin has no current broker registration.
How can I verify James Franklin’s record?
Search CRD 7327654 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Franklin’s full registration record.