Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Franco has been working in the financial services industry since 1985. James is registered as a broker-dealer and investment advisor representative. James is currently employed by United Planners' Financial Services of America. James has been working for United Planners' Financial Services of America since 2017. James also worked for LPL Financial, LLC and Prudential Securities Incorporated. James specializes in providing financial planning, selection of other advisors, and portfolio management for individuals. James also provides pension consulting services. James is registered to sell securities in 14 states. James has passed the Series 63, Series 65, Series 7, Series 24 and SIE exams.
7333 EAST DOUBLETREE RANCH RD, SUITE 120
SCOTTSDALE, AZ 85258
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
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.
1
2
AZ
02/17/2020 - Present
United Planners' Financial Services OF America A Limited Partner (SCOTTSDALE AZ)
CA
05/14/1999 - 09/01/2017
LPL FINANCIAL LLC (THOUSAND OAKS CA)
NY
05/02/1997 - 05/20/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
08/21/1985 - 05/06/1997
M.L. STERN & CO. INC. (BEVERLY HILLS CA)
IA
Issued 01/21/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/18/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/11/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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