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JU
CFP
JU
CFP

James Urda

LPL Financial LLC
33 Years of Experience
Napa, CA
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

James Urda is a CFP-designated registered investment advisor at LPL Financial LLC, based in Napa, CA, with 33 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

1001 Second Street, Ste 255, Napa, CA, 94559

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History

Regulatory History (3)
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.
Employment Separation After Allegations
January 2006
Customer Dispute
May 2001
Denied
Criminal
January 1982
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is involved with Urda Wealth Management Inc. selling non-variable insurance products, dedicating about 10-20% of his time. He also sells insurance (LTC, Term, and Universal) and owns Urda Estate Vineyards LLC, spending minimal time on the latter.

Employment History
Current Registrations
LPL Financial LLC
February 2006 - Present · 20 yrs 8 mos
LPL Financial LLCBroker
February 2006 - Present · 20 yrs 8 mos
Previous Registrations
Edward Jones
October 2002 - February 2006 · 3 yrs 4 mos
Edward JonesBroker
October 1992 - February 2006 · 13 yrs 4 mos
State Registrations41 states
ALARAZCACOCTDCFLGAHIIAIDILINKYLAMAMDMIMNMOMSMTNCNHNJNMNVNYOHOKORPASCSDTXUTVAWAWVWY
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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