SF
Steven P. Franzen
VERTEX PARTNERS
Downers Grove, IL 60515
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CRD#: 4281024
SF
Professional summary
Steven Paul Franzen, who also goes by Steve Franzen, Steven Paul Franzen Cpa, is a registered financial advisor currently at VERTEX PARTNERS located in Downers Grove, Illinois and LPL FINANCIAL LLC located in Downers Grove, Illinois.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Steven has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Franzen | Steven Paul Franzen Cpa
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 6/2/2010 - Steven P. Franzen CPA PC - Tax Prep/Accounting/CPA - INV REL - AT REPORTED BUSINESS LOCATION - Compilation, Payroll, Tax Preparation, Consulting, Tax Planning, Bookkeeping, Entity Design, Etc. (This Corp was created for tax planning purposes for services rendered to De Sio, Franzen & Associates, Ltd.) - 60% TIME SPENT. 2. 10/4/2010 - Performance Card Services, Ltd - Other-Shareholder - INV REL - AT REPORTED BUSINESS LOCATION - Payment Broker & Due Dilligence service - 1% TIME SPENT. 3. 1/23/2018 - Highpoint Advisor Group, LLC - DBA: Vertex Planning Partners, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 01/01/2018 - 20 Hours Per Month/20 Hours During Trading - I provide investment advisory services through HighPoint Advisor Group, LLC, an independent investment advisor firm. I started this business activity in January 2018. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 02/06/2018 - Vertex Accounting Partners, LLC - Investment Related - At Reported Business Location(s) - CPA Affiliate Program - Managing Partner - Start Date 12/30/2017 - 160 Hours Per Month/140 Hours During Securities Trading - CPA firm that provides income tax preparation to individuals & businesses, payroll services, compilations, consulting, tax planning, bookkeeping, entity design, etc. 5. 5/31/2018 - Vertex Planning Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:01/01/2018 - 40 Hour(s) Per Month/40 Hour(s) During Trading. 6. 6/23/2020 - Steven P. Franzen CPA PC - Not Investment Related - At Reported Business Location(s) - Act in a Fiduciary Capacity - Acting Trustee - Started 06/08/2020 - 5 Hours Per Month During Securities Trading - The Howard Trust. 7. 06/02/2022 - VERTEX PARTNERS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date - 01/03/2022 - 20 Hours Per Month/ 20 Hours During Securities Trading - I provide investment advisory services through VERTEX PARTNERS, an independent investment advisor firm. I started this business activity in 1/2022. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8. 3/6/2023 - 2021 TIMOTHY I HOWARD IRRV GRANDCHILDREN TRUSTS - Not Investment Related - At Reported Business Location(s) - Act in a Fiduciary Capacity - Acting trustee - Start Date - 06/08/2020 - 5 Hours Per Month/5 Hours During Securities Trading 9. 05/26/2023 - Aspire Planning Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date 05/19/2023 - 1 Hour Per Month/ During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Steven Paul Franzen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 1, 2022 - Present
VERTEX PARTNERS
Office #1: 3000 Woodcreek Drive Suite 100, Downers Grove, IL 60515RIA
CRD#: 316839
Downers Grove, IL
Current
September 8, 2009 - Present
LPL FINANCIAL LLC
Office #1: 3000 Woodcreek Dr Ste 100, Downers Grove, IL 60515RIA
BD
CRD#: 6413
DOWNERS GROVE, IL
Past
December 8, 2021 - April 29, 2022
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 316636
DOWNERS GROVE, IL
Past
June 6, 2016 - December 31, 2021
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 163768
Downers Grove, IL
Past
September 8, 2009 - July 27, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
WARRENVILLE, IL
Past
October 13, 2004 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
RIA
CRD#: 10078
WARRENVILLE, IL
Past
November 25, 2003 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
WARRENVILLE, IL
Past
September 24, 2001 - November 25, 2003
VERAVEST INVESTMENT ADVISORS, INC.
RIA
CRD#: 105796
DES PLAINES, IL
Past
January 23, 2001 - November 25, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VP
VERTEX PARTNERS
VERTEX PARTNERS | VERTEX PLANNING PARTNERS, LLC
CRD#: 316839 / SEC#: 801-122980
RIA
Registered Investment Advisory firm - (1/3/2022 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/13/2020)
RR
California(2/25/2011)
RR
Florida(5/20/2015)
RR
Georgia(5/4/2010)
RR
Illinois(9/8/2009)
IAR
Illinois(6/6/2022)
RR
Nebraska(7/26/2024)
IAR
Texas(6/1/2022)
RR
Washington(1/13/2010)
RR
Wisconsin(1/13/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VP
VERTEX PARTNERS
VERTEX PARTNERS | VERTEX PLANNING PARTNERS, LLC
CRD#: 316839 / SEC#: 801-122980
RIA
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Contact information
Main Address
3000 Woodcreek Drive Suite 100, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 836-3300
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,374 |
| AUM (Assets Under Management) | $ 827,936,305 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
