Niva WealthLet’s talk

Lindsey Oshita

Chief Financial Officer at Franklin Advisers

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Lindsey Oshita is Chief Financial Officer of Franklin Advisers, Inc., a San Mateo investment adviser managing $509B. Lindsey Oshita has a current broker registration and no current investment-adviser registration and has passed the Series 27, Series 99TO and SIE.

Role at Franklin Advisers

Title on Schedule A
Chief Financial Officer
Control
Lindsey Oshita is a control person of Franklin Advisers.
Ownership
An individual ownership band is not available in the source record.
Tenure
Lindsey Oshita has held the filed role since October 2019.

The firm

Franklin Advisers, Inc.
San Mateo, CA

Form ADV filed 16 September 2026

$509B AUM25,120 clients272 advisers7 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO and SIE · 2023
  2. Passed Series 27 · 2020

Registrations and exams

Broker registration; no current adviser registration. Lindsey Oshita has passed 3 qualifying exams.

Examinations

Series 2727 January 2020
Name
Financial and Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE2 January 2023
Name
Securities Industry Essentials Examination

Individual record

Full name
Lindsey Oshita
CRD
7183188
Firm
Franklin Advisers, Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Lindsey Oshita work?

Lindsey Oshita has been Chief Financial Officer of Franklin Advisers, Inc. since October 2019, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 16 September 2026

Does Lindsey Oshita have a current investment-adviser registration?

Lindsey Oshita has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Lindsey Oshita passed?

Lindsey Oshita has passed 3 licensing exams: the Series 27, Series 99TO and SIE. The earliest, the Series 27, was passed in January 2020.

Source: IAPD individual record, checked 18 October 2026

Leadership at Franklin Advisers

Sources

  1. IAPD individual record, CRD 7183188. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Franklin Advisers, Inc., filed 16 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Lindsey Oshita or Franklin Advisers, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.