Franklin Distributors LLC

11/03/2026 | Press release | Distributed by Public on 11/03/2026 17:31

Amendment to Information Required of Brokers and Dealers (Form X-17A-5/A)

Form X-17A-5 Filer Information UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL AUDITED REPORT
Form X-17A-5
Part III

FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder
OMB APPROVAL

FORM X-17A-5/A

OMB Number: 3235-0123

Estimated average burden hours per response: 12.00

X-17A-5/A: Filer Information

Filer CIK
0001132573
Filer CCC
XXXXXXXX
Is this a LIVE or TEST Filing? LIVE TEST
Would you like a Return Copy?
Is this an electronic copy of an official filing submitted in paper format?
Confirming Copy File Number

Submission Contact Information

Name
Phone
E-Mail Address
Notify via Filing Website only?

X-17A-5/A: Submission Information

Report for the Period Beginning
10-01-2024
and Ending
09-30-2025
Type of Registrant Broker-dealer
OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No
Please describe what information is being amended with this filing.
Filing restated financial statements

X-17A-5/A: A. Registrant Identification

Name of Broker-dealer
Franklin Distributors, LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
One Franklin Parkway
City
San Mateo
State/Country
CALIFORNIA
Mailing Zip/ Portal Code
94403

Name and Telephone Number of Person to Contact in Regard to this Report

Name
David Paterson
Telephone Number
801-952-3309

X-17A-5/A: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
PricewaterhouseCoopers LLP
Address 1
405 Howard Street
Address 2
Suite 600
City
San Francisco
State/Country
CALIFORNIA
Mailing Zip/ Postal Code
94105
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5/A: Signature

Oath or Affirmation

I, [email protected], swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of Franklin Distributors, LLC, as of 11-03-2026, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:
Signature
David Paterson
Title
Chief Financial Officer and Designated Financial Principal

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.
Franklin Distributors LLC published this content on November 03, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on November 03, 2026 at 23:32 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]