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JK
CFP
JK
CFP

James Kapala

LPL Financial LLC
36 Years of Experience
Orland Park, IL
Broker
View SEC Summary
View SEC Summary

James Kapala is a CFP-designated registered investment advisor at LPL Financial LLC, based in Orland Park, IL, with 36 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

8400 West 159th Street, Orland Park, IL, 60462

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

James operates under a DBA for his LPL business, BMO Investment Services, since 2021. This activity is investment-related.

Employment History
Current Registrations
LPL Financial LLCBroker
March 2021 - Present · 5 yrs 7 mos
LPL Financial LLC
March 2021 - Present · 5 yrs 7 mos
LPL Financial LLC
March 2021 - Present · 5 yrs 7 mos
Previous Registrations
BMO Harris Financial Advisors, INC
April 2008 - March 2021 · 12 yrs 11 mos
BMO Harris Financial Advisors, INC.Broker
April 2008 - March 2021 · 12 yrs 11 mos
Fifth Third Securities, INC.
June 2005 - April 2008 · 2 yrs 10 mos
Fifth Third Securities, INC.Broker
May 2005 - April 2008 · 2 yrs 11 mos
Harrisdirect LLC
September 2004 - December 2004 · 3 mos
Harrisdirect LLCBroker
September 2004 - December 2004 · 3 mos
Harrisdirect LLCBroker
May 2002 - September 2004 · 2 yrs 4 mos
Harrisdirect LLC
December 2000 - September 2004 · 3 yrs 9 mos
Harris Investorline INC.Broker
December 2000 - May 2002 · 1 yr 5 mos
Harris InvestorlineBroker
April 2000 - December 2000 · 8 mos
Ameritas Investment CORP.Broker
June 1998 - May 2002 · 3 yrs 11 mos
Harris Investors Direct, INC.Broker
June 1998 - April 2000 · 1 yr 10 mos
Old Kent Financial AdvisorsBroker
June 1997 - June 1998 · 1 yr
Aon Securities CorporationBroker
May 1996 - May 1997 · 1 yr
Forth Financial Securities, CorporationBroker
October 1991 - April 1996 · 4 yrs 6 mos
Metropolitan Life Insurance CompanyBroker
November 1989 - September 1991 · 1 yr 10 mos
Metlife Securities INC.Broker
November 1989 - September 1991 · 1 yr 10 mos
State Registrations3 states
ILINNY
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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