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RIA / WealthAdvisordual registered (broker-dealer)47 years in industry

JAMES NEIL FRANZEN

Advisor at PROSPERA FINANCIAL SERVICES, INC.

DENVER, IA

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Search this name across graphsid dfx:ria:2df36a19-4de6-1c00-7d8a-11bf4a08e13b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 30, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PROSPERA FINANCIAL SERVICES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 1978earliest registration or exam on IAPD
Years in industry: 47derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Sep 16, 1988
First registration: Dec 30, 1999
Dual registered: yes, broker-dealer
Other names: JIM NEIL FRANZEN
IAPD individual key: 1850403

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PROSPERA FINANCIAL SERVICES, INC.	Bd affiliated wealth	May 16, 2025	n/a	yes	DENVER, IA	Current employment
CUTTER & COMPANY, INC.	Former SEC adviser	Jan 13, 2006	May 16, 2025	no	DENVER, IA\|DENVER, IA	Previous registration
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Bd affiliated wealth	Mar 30, 2004	Jul 1, 2005	no	DENVER, IA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Dec 30, 1999	Mar 15, 2004	no	WATERLOO, IA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CUTTER & COMPANY, INC.	PROSPERA FINANCIAL SERVICES, INC.	May 16, 2025	May 16, 2025	0	Bulk transfer	RIA to ibd
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	CUTTER & COMPANY, INC.	Jul 1, 2005	Jan 13, 2006	196	Firm change	Other
A. G. EDWARDS & SONS, INC.	BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Mar 15, 2004	Mar 30, 2004	15	Firm change	Other

Relationships

Registered with (4)

→ PROSPERA FINANCIAL SERVICES, INC.Registered adviserregistration: current employment
May 16, 2025 to presentfactForm ADV
→ CUTTER & COMPANY, INC.Registered adviserregistration: previous registration
Jan 13, 2006 to May 16, 2025factForm ADV
→ BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 30, 2004 to Jul 1, 2005factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Dec 30, 1999 to Mar 15, 2004factForm ADV

Dated events

No dated event names this entity yet.