Franz Warren
Franz Warren is a registered investment advisor at J.P. Morgan Securities LLC, based in Southport, CT, with 31 years of industry experience. Franz operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 1,055,400 clients with $350B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.45% |
| $250K - $500K | 1.30% |
| $500K - $1000K | 1.15% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $5.0M | 0.75% |
| $5.0M - $10.0M | 0.65% |
| $10.0M - $15.0M | 0.55% |
| $15.0M - $25.0M | 0.50% |
| $25.0M - $50.0M | 0.40% |
| $50M+ | 0.30% |
The Advisory Fee rate for assets invested in the Fixed Income Advisory Program (FIAP) is 0.70%. The Advisory Fee rate for assets invested in the Liquidity Management Strategy (LMS) is 0.40%. Effective November 10, 2025 the Advisory Fee rate for new LMS investors and LMS proposals dated on or after November 10, 2025 will be 0.60%.
Fee Estimator
Location
292 Pequot Ave, Floor 02, Southport, CT, 06890
Get directionsHistory
Regulatory History (3)
Customer Dispute
December 2023Customer Dispute
June 2009Customer Dispute
January 2007Other Business Activities
Franz is a soccer coach for AC Connecticut, a director and coach for Danbury Youth Soccer Club, and a freelance soccer official. These activities take about 10-20% of Franz's time overall.
Employment History
Current Registrations
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Previous Registrations
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Ameriprise Advisor Services, INC.
Ameriprise Advisor Services, INC.Broker
State Registrations53 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.