DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

James Stephen Franceus

LPL Financial LLCBD affiliatedGresham, Ordual registrantIAPD 1210553

Certified Financial Planner

Feed of 09/14/2026

Also filed as Jim Franceus

At current firm

2 y

since Jan 29, 2024

In the industry

39 y

since Jun 12, 1987 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Jan 29, 2024 · Gresham, Or
Cambridge Investment Research Advisors, Inc. BD affiliated
May 8, 2013 to Jan 26, 2024 · Lake Oswego, Or
Mutual Service Corporation unclassified
Jul 8, 2003 to Jul 21, 2003 · Lake Oswego, Or
Bts Asset Management, Inc. independent RIA
Jun 10, 2002 to Jan 29, 2003 · Lake Oswego, Or

Moves

a registration end followed by a registration begin elsewhere

Cambridge Investment Research Advisors, Inc. to LPL Financial LLC
left Jan 26, 2024, registered Jan 29, 2024 (3 days) · Affiliated broker-dealer or bank to another
Mutual Service Corporation to Cambridge Investment Research Advisors, Inc.
left Jul 21, 2003, registered May 8, 2013 (3579 days) · Other
Bts Asset Management, Inc. to Mutual Service Corporation
left Jan 29, 2003, registered Jul 8, 2003 (160 days) · Other

Signals

James Stephen Franceus left Cambridge Investment Research Advisors, Inc. for Lpl Financial Llc (registered 2024-01-29)
Jan 26, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address