James Franzen
James Franzen is a registered investment advisor at Prospera Financial Services, INC., based in Denver, IA, with 37 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 Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. 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
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.15% |
Maximum annual fee across investment management programs is 2.15% of assets under management. Fees are negotiable based on account size, complexity, and services provided.
Fee Estimator
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.