Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Allyn Franke is a registered investment advisor representative with Rothschild Investment LLC. James Franke has been in the industry since January 18, 2004. James Franke is registered with FINRA and holds the Series 7, Series 24, Series 63, and Series 65 licenses. James Franke's current registrations are: * Approved RA in California * Approved RA in Florida * Approved RA in Illinois * Approved RA in Texas Prior to Rothschild Investment LLC, James Franke worked at Robert W. Baird & Co. Incorporated, Morgan Stanley Smith Barney, and Citigroup Global Markets Inc.
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.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
IL
12/16/2011 - Present
Rothschild Investment LLC (CHICAGO IL)
IL
08/17/2009 - 12/23/2011
ROBERT W. BAIRD & CO. INCORPORATED (CHICAGO IL)
IL
06/01/2009 - 09/04/2009
MORGAN STANLEY SMITH BARNEY (CHICAGO IL)
IL
01/19/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
IA
Issued 03/24/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/16/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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