James FranzenCRD Number: 1850403
Current Firm: Cutter & Company, Inc.
James Franzen (CRD# 1850403) is an Investment Advisor Representative working at Cutter & Company, Inc. in Denver, IA and has over 29 years of experience in the finance industry.
Fsb Premier Wealth Management, Inc.
Heartland Financial Services, Ltd.
Cetera Advisors LLC
|Cutter & Company Brokerage, Inc.||Chesterfield, MO||Jul 2005 - Current||12|
|Ics||Denver, IA||Feb 2004 - Current||14|
|James N. Franzen Farm||Hawkeye, IA||Dec 1978 - Current||39|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1988|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management560MILLIONS
Total Number of Accounts1,892ACCOUNTS
Average Account Value$296,040
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AZ, CA, FL, GA, IA, IL, IN, KS, KY, LA, MA, MD, MI, MO, NC, NH, NJ, NY, OH, PA, SC, TX, UT, WA
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