Equity Services, Inc. (ESI) is pleased to announce the appointment Robert Franklin as ESI’s Chief Compliance Officer, responsible for all Compliance functions.
With over 20 years of industry experience, Franklin was the Chief Compliance Officer at Moody’s and more recently he worked at Kestra Financial in Austin, Texas, where for over a decade he functioned as the Anti Money Laundering Officer. His responsibilities also included Branch examinations, Internal Testing and Investigations. Franklin brings a wealth of knowledge and expertise from his time with Sanders Morris Harris, Nationwide Securities, Williams Financial Group, and HD Vest Financial.
“Robert’s experience and expertise, along with his servant leadership style, match exactly what we have been looking for as we expand our Distribution,” ESI President and Chief Executive Officer Ata Azarshahi said.
Franklin is a graduate of Texas Tech University, completed phase I of Certified Regulatory and Compliance Professional Certification at FINRA Institute at Wharton, and holds Series 7, 63, 66, and 24. He has served on various committees at Kestra including OBA, Risk, Testing and Conflict of Interest.
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