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James A Franklin

Independent Financial Group, LLC

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About James A Franklin

James Franklin is a financial professional with over 18 years of experience in the financial services industry. James is currently registered with Independent Financial Group, LLC. Previous experience includes CETERA ADVISOR NETWORKS LLC, 1ST GLOBAL CAPITAL CORP., CETERA ADVISORS LLC, INVESTORS CAPITAL CORP., NEXT FINANCIAL GROUP, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. James holds a Series 7, Series 66 and SIE licenses. James specializes in retirement planning, insurance, and investment services. James offers a range of advisory services including financial planning, pension consulting, selection of other advisors, and portfolio management for individuals and businesses. James serves clients in the states of California, Nevada, and Texas.

Firm Information

James Franklin is currently registered with Independent Financial Group, LLC. Independent Financial Group, LLC is a limited liability company formed in July 2001 and headquartered in San Diego, California. The firm offers financial planning, pension consulting, portfolio management for individuals and businesses, and selection of other advisors. They manage approximately $1 billion to $10 billion in assets for a diverse clientele, including high-net-worth individuals, corporations, charitable organizations, and pension plans. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands.
Independent Financial Group, LLC

12671 HIGH BLUFF DR

SAN DIEGO, CA 92130

$6.75B

Assets Under Management

270

Total Clients

524

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Franklin’s Registration & Firm History

TX

06/09/2023 - Present

Independent Financial Group, LLC (Houston TX)

TX

02/08/2019 - 06/08/2023

CETERA ADVISOR NETWORKS LLC (HOUSTON TX)

TX

03/15/2017 - 02/11/2019

1ST GLOBAL CAPITAL CORP. (HOUSTON TX)

TX

10/03/2016 - 03/17/2017

CETERA ADVISORS LLC (TOMBALL TX)

TX

09/30/2010 - 10/03/2016

INVESTORS CAPITAL CORP. (HOUSTON TX)

NV

01/11/2008 - 09/22/2010

NEXT FINANCIAL GROUP, INC. (HENDERSON NV)

NV

08/02/2004 - 01/11/2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LAS VEGAS NV)

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Licenses & Designations

BOTH

Issued 08/26/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/30/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for James A Franklin. Review regulatory record here.
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