Unionbanc Investment Services, LLC

Investment Advisor
in Carlsbad, CA
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About this Advisor

Adam Franklin is a financial advisor in Carlsbad, California. Currently an investment advisor at Unionbanc Investment Services, LLC, Franklin has 10 years of work experience in the financial advisory industry. Franklin maintains Series 63, Series 65 and Series 66 licenses, certifying the advisor as both a securities agent and an investment advisor representative. Franklin is able to serve investors in California. Over the course of their career, they have held roles at Td Ameritrade Inc, Alpha Global Investments, Echotrade, LLC, Jpmorgan Securities LLC, Amerivest Investment Management, Monoceros Capital Managements LLC and Unionbanc Investment Services. Unionbanc Investment Services, LLC is headquartered in Carlsbad, California, and operates out of 347 additional brick-and-mortar locations throughout the United States. In total, Unionbanc Investment Services, LLC manages $1 billion in assets dispersed across 4,151 client accounts and employs more than 634 people. The amount of assets the firm manages places it among the larger financial advisory firms in the United States. The firm manages 3,785 accounts on a discretionary basis, in which the advisor makes investment decisions at their discretion. Currently 9% of the advisory firm's investors are high-net-worth individuals, meaning they have more than $1 million in capital. Unionbanc Investment Services, LLC provides portfolio management for individuals and small businesses, portfolio management for institutional clients and selection of other advisers. The firm's fees may include asset-based fees.

Certifications and Registrations

Series 63, Series 65, Series 66

Years of Experience

10 years

Services Offered

Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Selection of other advisers

Fee Structure

Percentage of Assets



Office Location

6988 El Camino Real
Carlsbad, CA 92009

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Unionbanc Investment Services, LLC Brokerage Details

Total Assets Under Management


CA Average: $7,578,581,321
Total Number of Employees


CA Average: 43
Total Number of Accounts


CA Average: 3,727
Average Account Size


CA Average: $2,033,427

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Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Selection of other advisers

Adam Franklin Work History

Adam has 10 years of experience.

2016 - Present (3 years)

Unionbanc Investment Services

2013 - 2016 (3 years)

Jpmorgan Securities LLC

2012 - 2012 (< 1 year)

Echotrade, LLC

2012 - 2013 (1 year)

Alpha Global Investments

2011 - 2012 (1 year)

Alpha Global Investments

2009 - 2010 (1 year)

Monoceros Capital Managements LLC

2008 - 2009 (1 year)

Td Ameritrade Inc

2008 - 2009 (1 year)

Amerivest Investment Management


Adam Franklin has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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