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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

JAMES A FRANGENBERG

Advisor at FOUNDERS FINANCIAL SECURITIES, LLC

Potomac, MD

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Search this name across graphsid dfx:ria:ee4fd775-53ae-f986-bb87-906d39638669

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Nov 29, 2006 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: FOUNDERS FINANCIAL SECURITIES, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 27, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Aug 27, 2003
First registration: Nov 29, 2006
Dual registered: yes, broker-dealer
Other names: JAMES A FRANGENBERG|JAMES ALAN FRANGENBERG|Jim Frangenberg
IAPD individual key: 4667287

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
FOUNDERS FINANCIAL SECURITIES, LLC	Independent wealth	Oct 27, 2025	n/a	yes	Potomac, MD	Current employment
WELLS FARGO ADVISORS	Wirehouse	Sep 20, 2023	Oct 29, 2025	no	TARPON SPRINGS, FL\|MCLEAN, VA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 5, 2023	Aug 18, 2023	no	SAN DIEGO, CA\|ROCKVILLE, MD\|ROCKVILLE, MD	Previous registration
M&T SECURITIES, INC.	n/a	Oct 1, 2018	Jun 9, 2021	no	Leesburg, VA\|BALTIMORE, MD\|Rockville, MD	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jun 22, 2016	Sep 7, 2018	no	WASHINGTON, DC	Previous registration
MORGAN STANLEY	Wirehouse	Mar 9, 2011	Apr 13, 2016	no	WASHINGTON, DC\|Richmond, VA\|Bethesda, MD	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 26, 2009	Feb 22, 2011	no	RICHMOND, VA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Nov 29, 2006	Mar 5, 2009	no	VIRGINIA BEACH, VA\|RICHMOND, VA\|VIRGINIA BEACH, VA\|NORFOLK, VA	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
WELLS FARGO ADVISORS	FOUNDERS FINANCIAL SECURITIES, LLC	Oct 29, 2025	Oct 27, 2025	-2	Firm change	Wirehouse to RIA
LPL FINANCIAL LLC	WELLS FARGO ADVISORS	Aug 18, 2023	Sep 20, 2023	33	Firm change	Ibd to wirehouse
M&T SECURITIES, INC.	LPL FINANCIAL LLC	Jun 9, 2021	Jun 5, 2023	726	Bulk transfer	Other
PNC WEALTH MANAGEMENT	M&T SECURITIES, INC.	Sep 7, 2018	Oct 1, 2018	24	Firm change	Other
MORGAN STANLEY	PNC WEALTH MANAGEMENT	Apr 13, 2016	Jun 22, 2016	70	Firm change	Other
WELLS FARGO ADVISORS	MORGAN STANLEY	Feb 22, 2011	Mar 9, 2011	15	Firm change	Wirehouse to wirehouse
BANC OF AMERICA INVESTMENT SERVICES, INC.	WELLS FARGO ADVISORS	Mar 5, 2009	May 26, 2009	82	Firm change	Other

Relationships

Registered with (7)

→ FOUNDERS FINANCIAL SECURITIES, LLCRegistered adviserregistration: current employment
Oct 27, 2025 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 20, 2023 to Oct 29, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 5, 2023 to Aug 18, 2023factForm ADV
→ M&T SECURITIES, INC.Registered adviserregistration: previous registration
Oct 1, 2018 to Jun 9, 2021factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jun 22, 2016 to Sep 7, 2018factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Mar 9, 2011 to Apr 13, 2016factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Nov 29, 2006 to Mar 5, 2009factForm ADV

Dated events

Occurred
Oct 29, 2025
Advisor changed firm
James A Frangenberg left Wells Fargo Advisors for Founders Financial Securities, Llc (registered 2025-10-27)
Form ADVobserved 6 days ago
Occurred
Aug 18, 2023
Advisor changed firm
James A Frangenberg left Lpl Financial Llc for Wells Fargo Advisors (registered 2023-09-20)
Form ADVobserved 6 days ago