James Franceus
James Franceus is a CFP-designated registered investment advisor at LPL Financial LLC, based in Gresham, OR, with 39 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Gresham, OR
Get directionsHistory
Regulatory History (2)
Customer Dispute
April 2011Customer Dispute
September 2010Other Business Activities
James operates under Summit Financial and Investment Advisors as a DBA for his LPL business, dedicating full-time hours to this investment-related activity. He also has two business entities, Retirement Solutions Inc and Summit Financial Advisors Inc, for tax/investment purposes, spending minimal time on Retirement Solutions Inc and full-time hours on Summit Financial Advisors Inc.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Crown Capital Securities, L.P.Broker
Mutual Service Corporation
Bts Asset Management, INC.
Mutual Service CorporationBroker
Mutual Service CorporationBroker
Titan/value Equities Group, INC.Broker
CUNA Brokerage Services, INC.Broker
Century Investors of America, INC.Broker
Nml Equity Services, INC.Broker
State Registrations10 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.