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SVP, Compliance & CCO · ESI Financial Advisors

Robert Franklin

CRD 3213051 · Named on Form ADV at one SEC-registered adviser

At a glance

ESI Financial Advisors, an SEC-registered broker-dealer firm based in Montpelier, VT with $2.8 billion in regulatory assets, lists Robert Franklin on its Form ADV as SVP, Compliance & CCO, a control person.

Firms and roles

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Robert’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (11)

6 more people named with Robert on the same filings, with titles and firms. Free in Atlas with a free account.

See all 11 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Robert’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.