James Baltzersen
James Baltzersen is a registered investment advisor at Prospera Financial Services, INC., based in Crown Point, IN, with 22 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
270 N Main St., Crown Point, IN, 46307
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
May 2012Other Business Activities
James is the president of Riverstone Financial Group, dedicating nearly full-time hours to providing investment and financial services. He also serves on the board of Rotary International and Heritage Baptist Church, and is a partner/owner of Riverston Properties LLC, spending minimal time on each of these activities.
Employment History
Current Registrations
Prospera Financial Services, INC.Broker
Prospera Financial Services, INC.
Previous Registrations
Cetera Advisor Networks LLCBroker
Summit Financial Group INC
Summit Brokerage Services, INC.Broker
Edward Jones
Edward JonesBroker
State Registrations21 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.