Unclaimed Profile

James Franklin Minich

MINICHMACGREGOR WEALTH MANAGEMENT, LLC·SARATOGA SPRINGS, New York

SIE, Series 7, Series 63, Series 6513 years registeredMINICHMACGREGOR WEALTH MANAGEMENT, LLC

21 CONGRESS STREET, SARATOGA SPRINGS, NY 12866CRD# 1708380Firm CRD# 151237

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Franklin Minich · SARATOGA SPRINGS, NY

Registration

CRD #1708380 · MINICHMACGREGOR WEALTH MANAGEMENT, LLC · 13 years registered

Brand Profile

Not yet started

Career History

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

Feb 2013 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 65

Registration record

First registered · February 28, 2013

Years registered · 13

Disclosure History

2023Customer Dispute·Pending

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

CRD 151237 · SEC 801-70490

AUM

$501M

Regulatory assets under management

Employees

2,198 client accounts

Services offered by MINICHMACGREGOR WEALTH MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at MINICHMACGREGOR WEALTH MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does James Franklin Minich offer?

James Franklin Minich specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SARATOGA SPRINGS, New York for a consultation.

What are James Franklin Minich's credentials?

James Franklin Minich is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Franklin Minich located?

James Franklin Minich is based in SARATOGA SPRINGS, New York, working with MINICHMACGREGOR WEALTH MANAGEMENT, LLC. Their office serves clients in the SARATOGA SPRINGS metropolitan area and surrounding communities.

How does James Franklin Minich charge for services?

James Franklin Minich's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is MINICHMACGREGOR WEALTH MANAGEMENT, LLC?

MINICHMACGREGOR WEALTH MANAGEMENT, LLC has approximately 9 employees and manages $501M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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