James Franzen
James Franzen is a registered investment advisor at Prospera Financial Services, INC., based in Denver, IA, with 36 years of industry experience. Their practice areas include Estate Planning, Retirement Planning. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Prospera Financial Services offers investment management through various programs. The fees are based on a percentage of your portfolio's value and are negotiable, but the maximum annual fee is 2.15%. The specific fee and services are agreed upon in an advisory agreement. Fees are typically deducted from your account. Some programs may have additional fees, such as transaction costs or sub-account fees. Prospera also participates in revenue sharing with custodians and other third parties, which creates a conflict of interest.
Location
100 North Holmes, Suite A, Denver, IA, 50622-0783
Get directionsHistory
Regulatory History (1)
Criminal
March 2010Other Business Activities
James is associated with Investors Commodity Services, Inc. as an introducing commodity futures broker, dedicating about 10-20% of his time. He also operates a farming business, producing grain products for sale, which occupies a significant amount of his time.
Employment History
Current Registrations
Prospera Financial Services, INC.Broker
Prospera Financial Services, INC.
Previous Registrations
Cutter & Company, INC.
Cutter & Company, INC.Broker
Berthel Fisher & Company Financial Services, INC.
Berthel, Fisher & Company Financial Services, INC.Broker
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
Nwnl Management CorporationBroker
State Registrations7 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.