James Franklin
James Franklin is a registered investment advisor at Independent Financial Group, LLC, based in Houston, TX, with 21 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 44,045 clients with $11B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
IFG offers investment management through various programs, including AccessPoint, Custom Asset Management, and Third Party Asset Managers. Fees are based on a percentage of the value of your account and are negotiable. Transaction charges may also apply. The maximum advisory fee is 3.00% per year. IFG and its IARs may receive additional compensation from product sponsors, which creates a conflict of interest.
Location
8300 FM 1960 West, Suite 450, Houston, TX, 77070
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Regulatory History (2)
Customer Dispute
November 2020Customer Dispute
April 2017Other Business ActivitiesSells Insurance
James is an insurance agent selling life insurance, annuities, and long-term care through various companies since 2019. He is also the owner of Southwest Financial Services, working as a financial advisor about a quarter of his time, and owner of J Franklin Investments for expense management and tax purposes.
Employment History
Current Registrations
Independent Financial Group, LLC
Independent Financial Group, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Cetera Advisor Networks LLCBroker
1st Global Capital CORP.Broker
1st Global Advisors INC
Cetera Advisors LLCBroker
Cetera Advisors LLC
Investors Capital CORP.Broker
Investors Capital Advisory
Next Financial Group, INC.Broker
Next Financial Group, INC.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations4 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.