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JL
CFP
JL
CFP

James Lewy

LPL Financial LLC
39 Years of Experience
Whitehouse Station, NJ
1 DisclosureBroker
View SEC Summary
View SEC Summary

James Lewy is a CFP-designated registered investment advisor at LPL Financial LLC, based in Whitehouse Station, NJ, with 39 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

665 Us-22 East Unit 202, Whitehouse Station, NJ, 08889

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2008
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
September 2024 - Present · 2 yrs 1 mo
LPL Financial LLCBroker
September 2024 - Present · 2 yrs 1 mo
Previous Registrations
Wells Fargo Advisors Financial Network, LLCBroker
November 2019 - September 2024 · 4 yrs 10 mos
Wells Fargo Advisors
November 2019 - September 2024 · 4 yrs 10 mos
Wells Fargo Clearing Services, LLCBroker
October 2001 - November 2019 · 18 yrs 1 mo
Wells Fargo Clearing Services, LLC
October 2001 - November 2019 · 18 yrs 1 mo
Prudential Securities IncorporatedBroker
December 1995 - October 2001 · 5 yrs 10 mos
Smith Barney INC.Broker
July 1993 - December 1995 · 2 yrs 5 mos
Lehman Brothers INC.Broker
July 1988 - July 1993 · 5 yrs
Glickenhaus & CO. - New JerseyBroker
October 1987 - June 1988 · 8 mos
Oppenheimerfunds Distributor, INC.Broker
April 1987 - September 1987 · 5 mos
State Registrations30 states
ARAZCACOCTDCDEFLGAILMAMDMIMTNCNHNJNMNYOHOKORPARISCTNUTVAVTWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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