Steven Paul Franzen

Current Employers

Employment History

• 04/1998 → Present
  De Sio, Franzen & Associates, Ltd.
  Lombard, IL
• 09/2009 → Present
  Lpl Financial Llc
  Downers Grove, IL
• 04/2016 → 04/2022
  Highpoint Advisor Group, Llc (Dba:VErtex Planning Partners, Llc)
  Downers Grove, IL
• 12/2004 → Present
  Steven P Franzen, Cpa, Pc
  Lombard, IL
• 05/2022 → Present
  Vertex Planning Partners
  Downers Grove, IL

Previous Registrations

• 2021-12-08 → 2022-04-29
  Highpoint Planning Partners
  Downers Grove, IL
  Downers Grove, IL
• 2016-06-06 → 2021-12-31
  Highpoint Planning Partners
  Warrenville, IL
  Downers Grove, IL
  Downers Grove, IL
• 2004-10-13 → 2009-09-08
  Waterstone Financial Group, Inc.
  Lombard, IL
  Warrenville, IL
• 2001-09-24 → 2003-11-25
  Veravest Investment Advisors, Inc.
  Des Plaines, IL

Other Businesses

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

Exams

• S66 Uniform Combined State Law Examination
  2001-02-14

Designations

Other Names

• Steve Franzen
• Steven Paul Franzen