JF
James A. Frangenberg
FOUNDERS FINANCIAL SECURITIES LLC
Potomac, MD 20854
Some features on this profile are disabled
CRD#: 4667287
JF
Professional summary
James A Frangenberg, who also goes by James Alan Frangenberg, Jim Frangenberg, is a registered financial advisor currently at FOUNDERS FINANCIAL SECURITIES LLC located in Potomac, Maryland.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Alan Frangenberg | Jim Frangenberg
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)Velaris Wealth Partners, LLC (DBA); Potomac, MD; Investment Related; Investment Advisor and Insurance Agent, Started 10/2025. 160 hrs/mth, 160 hrs during trading, Investment Advisory/Insurance. 2)RIGOR Insights; Bethesda, MD; Non-investment Related; Consultant; Start 11/2025; 4 hours per month; 1 hour during trading; Business growth consulting 3)Adventist Shady Grove Hospital Center; Rockville, MD, Non-Investment Related; Community Representative; Start 7/2023; 3 hours per month; 3 hours during trading; Advisory council to improve hospital operations 4)Make a Wish Mid Atlantic; Bethesda, MD; Non-investment related; Leadership Council Member; Start 11/2024; 2 hours per month; 1 hour during trading; Raise awareness of organization and network resources to fulfill wishes.
CRS (Client Relationship Summary) - RIA
Click below to view James A Frangenberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James A Frangenberg'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
October 27, 2025 - Present
FOUNDERS FINANCIAL SECURITIES LLC
Office #1: 1201 Seven Locks Road, Suite 360, Potomac, MD 20854RIA
BD
CRD#: 137945
Potomac, MD
Current
October 24, 2025 - Present
FOUNDERS FINANCIAL SECURITIES LLC
Office #1: 1201 Seven Locks Road, Suite 360, Potomac, MD 20854RIA
BD
CRD#: 137945
Potomac, MD
Past
September 20, 2023 - October 29, 2025
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MCLEAN, VA
Past
September 20, 2023 - October 29, 2025
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MCLEAN, VA
Past
June 5, 2023 - August 18, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROCKVILLE, MD
Past
August 20, 2021 - August 18, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
ROCKVILLE, MD
Past
October 1, 2018 - June 9, 2021
M&T SECURITIES, INC.
RIA
CRD#: 17358
Rockville, MD
Past
September 27, 2018 - June 9, 2021
M&T SECURITIES, INC.
BD
CRD#: 17358
Leesburg, VA
Past
June 22, 2016 - September 7, 2018
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
WASHINGTON, DC
Past
May 20, 2016 - September 7, 2018
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
WASHINGTON, DC
Past
March 9, 2011 - April 13, 2016
MORGAN STANLEY
RIA
CRD#: 149777
WASHINGTON, DC
Past
March 9, 2011 - April 13, 2016
MORGAN STANLEY
BD
CRD#: 149777
WASHINGTON, DC
Past
May 26, 2009 - February 22, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RICHMOND, VA
Past
May 26, 2009 - February 22, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RICHMOND, VA
Past
November 29, 2006 - March 5, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
RICHMOND, VA
Past
June 25, 2003 - March 5, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
RICHMOND, VA
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".
FF
FOUNDERS FINANCIAL SECURITIES LLC
7 PILLARS WEALTH MANAGEMENT | ZINAICH CAPITAL & RISK MANAGEMENT | WELCH BENEFIT GROUP | WEINBERG FINANCIAL ADVISORY | WEALTH PLANNING GROUP | WARNOCK FINANCIAL SERVICES LLC | WARNOCK FINANCIAL SERVICES | VOYAGER WEALTH MANAGEMENT | VEYDT/KING & COMPANY, INC. | TRUESENSE WEALTH MANAGEMENT, LLC | TPA FINANCIAL | TIMMICK FINANCIAL GROUP | THE ZIMMER FINANCIAL GROUP | THE INVESTMENT CENTER | THE CORNERSTONE GROUP | TAYLOR FINANCIAL | T & G FINANCIAL SOLUTIONS | SUMMIT LEGACY GROUP | STATONWALSH | SOUND CHOICE FINANCIAL LLC | SOLID ROCK WEALTH ADVISORS | SKYSON FINANCIAL GROUP | SERVANT LEADER INVESTORS | SENIOR FINANCIALS, LLC | RONALD HAMMONS | RIGG WEALTH MANAGEMENT, LLC | RESOLUTE RETIREMENT CONSULTING | PASCARELLA PLANNING GROUP | OVERDORF FINANCIAL | NOBLE FINANCIAL | MORGAN FINANCIAL GROUP LLC | MILLER FINANCIAL GROUP | MCCORD LLC | MASTERPIECE FINANCIAL GROUP | MASSEY INVESTMENT GROUP | MARYLAND WEALTH MANAGEMENT, LLC | MARSHA ROSENBERG | MARQUE CAPITAL MANAGEMENT, INC. | MAGIS WEALTH LEADERSHIP | LIPCHIN FINANCIAL GROUP LLC | LIM FINANCIAL GROUP | LIFETIME WEALTHCARE FAMILY OFFICE | LIFEHOUSE FINANCIAL GROUP | LEGACY FINANCIAL GROUP, LLC | LAMBERTSON FINANCIAL SERVICES | KUDERER FINANCIAL LLC | KESSLER INVESTMENTS | K WEST FINANCIAL PLANNING | JLIFE WEALTH MANAGEMENT | JARDON CONSULTING, LLC | J. C. KIDD & ASSOCIATES, INC. | INTEGRA FINANCIAL | HOFFMANN WEALTH MANAGEMENT | HERKERT & ASSOCIATES, INC. | GUIDED WEALTH MANAGEMENT | GREAT LAKES FINANCIAL SERVICES GROUP | GOULART PARTNERS | GOSEN INVESTMENTS, LLC | GERHART FINANCIAL SERVICES, INC. | FURTON FINANCIAL SERVICES | FTG SQUARED | FREDERICK FINANCIAL PLANNERS, INC. | FOX WEALTH SOLUTIONS | FOUNDERS FINANCIAL SECURITIES, LLC | FOUNDERS FINANCIAL SECURITIES LLC | FORT WASHINGTON FINANCIAL | FINANCIAL SECURITIES SERVICES, LLC | FINANCIAL PLANNING ASSOCIATES | FAIRWAY FINANCIAL | EVERLY FINANCIAL SERVICES | ESTABROOK AND CO. | EDM FINANCIAL ADVISORS | DREAMBRIDGE FINANCIAL | DIVERSIFIED RETIREMENT SERVICES | DHT FINANCIAL GROUP | DERICKSON FINANCIAL | DARRELL FINANCIAL SERVICES, LLC | COVENANT PLANNING AND WEALTH MANAGEMENT | COLSTON FINANCIAL GROUP | CHY FINANCIAL LLC | CHREST CPA TAX & FINANCIAL, PC | CARTOGRAPH WEALTH | CADRE ASSET MANAGEMENT | BROOKS FINANCIAL GROUP | BKG FINANCIAL, INC. | BISHOP ASSOCIATES,INC. | BENCHMARK FINANCIAL DESIGN GROUP INC | BARRY AND CAMPAGNA FINANCIAL SERVICES, INC | ASHER AND ASSOCIATES FINANCIAL | AQUINO FINANCIAL GROUP, LLC | AGORA INVESTMENTS | ABRAMOVITZ WEALTH MANAGEMENT
CRD#: 137945 / SEC#: 801-66892, 8-67137
RIA
Registered Investment Advisory firm - SEC (7/13/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
Maryland(10/24/2025)
IAR
Maryland(10/27/2025)
RR
Virginia(10/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FOUNDERS FINANCIAL SECURITIES LLC
7 PILLARS WEALTH MANAGEMENT | ZINAICH CAPITAL & RISK MANAGEMENT | WELCH BENEFIT GROUP | WEINBERG FINANCIAL ADVISORY | WEALTH PLANNING GROUP | WARNOCK FINANCIAL SERVICES LLC | WARNOCK FINANCIAL SERVICES | VOYAGER WEALTH MANAGEMENT | VEYDT/KING & COMPANY, INC. | TRUESENSE WEALTH MANAGEMENT, LLC | TPA FINANCIAL | TIMMICK FINANCIAL GROUP | THE ZIMMER FINANCIAL GROUP | THE INVESTMENT CENTER | THE CORNERSTONE GROUP | TAYLOR FINANCIAL | T & G FINANCIAL SOLUTIONS | SUMMIT LEGACY GROUP | STATONWALSH | SOUND CHOICE FINANCIAL LLC | SOLID ROCK WEALTH ADVISORS | SKYSON FINANCIAL GROUP | SERVANT LEADER INVESTORS | SENIOR FINANCIALS, LLC | RONALD HAMMONS | RIGG WEALTH MANAGEMENT, LLC | RESOLUTE RETIREMENT CONSULTING | PASCARELLA PLANNING GROUP | OVERDORF FINANCIAL | NOBLE FINANCIAL | MORGAN FINANCIAL GROUP LLC | MILLER FINANCIAL GROUP | MCCORD LLC | MASTERPIECE FINANCIAL GROUP | MASSEY INVESTMENT GROUP | MARYLAND WEALTH MANAGEMENT, LLC | MARSHA ROSENBERG | MARQUE CAPITAL MANAGEMENT, INC. | MAGIS WEALTH LEADERSHIP | LIPCHIN FINANCIAL GROUP LLC | LIM FINANCIAL GROUP | LIFETIME WEALTHCARE FAMILY OFFICE | LIFEHOUSE FINANCIAL GROUP | LEGACY FINANCIAL GROUP, LLC | LAMBERTSON FINANCIAL SERVICES | KUDERER FINANCIAL LLC | KESSLER INVESTMENTS | K WEST FINANCIAL PLANNING | JLIFE WEALTH MANAGEMENT | JARDON CONSULTING, LLC | J. C. KIDD & ASSOCIATES, INC. | INTEGRA FINANCIAL | HOFFMANN WEALTH MANAGEMENT | HERKERT & ASSOCIATES, INC. | GUIDED WEALTH MANAGEMENT | GREAT LAKES FINANCIAL SERVICES GROUP | GOULART PARTNERS | GOSEN INVESTMENTS, LLC | GERHART FINANCIAL SERVICES, INC. | FURTON FINANCIAL SERVICES | FTG SQUARED | FREDERICK FINANCIAL PLANNERS, INC. | FOX WEALTH SOLUTIONS | FOUNDERS FINANCIAL SECURITIES, LLC | FOUNDERS FINANCIAL SECURITIES LLC | FORT WASHINGTON FINANCIAL | FINANCIAL SECURITIES SERVICES, LLC | FINANCIAL PLANNING ASSOCIATES | FAIRWAY FINANCIAL | EVERLY FINANCIAL SERVICES | ESTABROOK AND CO. | EDM FINANCIAL ADVISORS | DREAMBRIDGE FINANCIAL | DIVERSIFIED RETIREMENT SERVICES | DHT FINANCIAL GROUP | DERICKSON FINANCIAL | DARRELL FINANCIAL SERVICES, LLC | COVENANT PLANNING AND WEALTH MANAGEMENT | COLSTON FINANCIAL GROUP | CHY FINANCIAL LLC | CHREST CPA TAX & FINANCIAL, PC | CARTOGRAPH WEALTH | CADRE ASSET MANAGEMENT | BROOKS FINANCIAL GROUP | BKG FINANCIAL, INC. | BISHOP ASSOCIATES,INC. | BENCHMARK FINANCIAL DESIGN GROUP INC | BARRY AND CAMPAGNA FINANCIAL SERVICES, INC | ASHER AND ASSOCIATES FINANCIAL | AQUINO FINANCIAL GROUP, LLC | AGORA INVESTMENTS | ABRAMOVITZ WEALTH MANAGEMENT
CRD#: 137945 / SEC#: 801-66892, 8-67137
RIA
Registered Investment Advisory firm - SEC (7/13/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1026 Cromwell Bridge Road Suite 100, Towson, MD 21286
Mailing Address
1026 Cromwell Bridge Road Suite 100, Towson, MD 21286
Phone number
(410) 308-9988
Established
Maryland since 09/21/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
141
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,774 |
| AUM (Assets Under Management) | $ 3,317,831,000 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/18/2025 | ||
| 07/29/2024 | ||
| 09/20/2023 | ||
| 11/07/2022 |
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.
