Michael J. Franzen

ALLSTATE FINANCIAL ADVISORS

Tucson, AZ 85730-1462

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CRD#: 4616701

Professional summary

Michael Joseph Franzen JR, who also goes by Michael Franzen, Mike Joseph Franzen, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Tucson, Arizona and ALLSTATE FINANCIAL SERVICES, LLC located in Tucson, Arizona.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Franzen | Mike Joseph Franzen

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.

EVERLAKE POSITION: Producer NATURE: Life Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2025 ADDRESS: 9568 E Golf Links, Tucson AZ 85730, United States DESCRIPTION: SERVICE EXISTING LIFE AND ANNUITY CONTRACTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Franzen JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 10, 2023 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 9568 E Golf Links Rd, Tucson, AZ 85730-1462

RIA

CRD#: 109524

Tucson, AZ

Current

July 16, 2010 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 9568 E Golf Links Rd, Tucson, AZ 85730-1462

CRD#: 18272

Tucson, AZ

Past

April 22, 2003 - December 24, 2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

TUCSON, AZ

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 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.

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

Arizona
(7/20/2010)

IAR

Arizona
(10/10/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/29/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/16/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/19/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/19/2003

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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.

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Advisor Monitoring

Firm Stability Insights

Michael J. Franzen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Franzen JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/29/2023

Series 63

Date: 5/16/2003

Series 7TO

Date: 7/19/2022

SIE

Date: 10/1/2018

Series 6

Date: 4/19/2003

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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