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CFP

James Franceus

LPL Financial LLC
39 Years of Experience
Gresham, OR
2 DisclosuresBroker
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James Franceus is a CFP-designated registered investment advisor at LPL Financial LLC, based in Gresham, OR, with 39 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28129 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Gresham, OR

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2011
Settled
Customer Dispute
September 2010
Settled
View Full SEC ReportHow to Read Disclosures
Other 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
January 2024 - Present · 2 yrs 9 mos
LPL Financial LLC
January 2024 - Present · 2 yrs 9 mos
Previous Registrations
Cambridge Investment Research Advisors, INC.
May 2013 - January 2024 · 10 yrs 8 mos
Cambridge Investment Research, INC.Broker
May 2013 - January 2024 · 10 yrs 8 mos
Crown Capital Securities, L.P.Broker
December 2005 - March 2013 · 7 yrs 3 mos
Mutual Service Corporation
July 2003 - July 2003 · 0 mos
Bts Asset Management, INC.
June 2002 - January 2003 · 7 mos
Mutual Service CorporationBroker
February 2000 - December 2005 · 5 yrs 10 mos
Mutual Service CorporationBroker
March 1999 - December 1999 · 9 mos
Titan/value Equities Group, INC.Broker
January 1997 - March 1999 · 2 yrs 2 mos
CUNA Brokerage Services, INC.Broker
October 1993 - December 1996 · 3 yrs 2 mos
Century Investors of America, INC.Broker
June 1987 - October 1993 · 6 yrs 4 mos
Nml Equity Services, INC.Broker
November 1983 - August 1984 · 9 mos
State Registrations10 states
AZCACOHIMIMNNVORWAWI
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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