James Defano
James Defano is a registered investment advisor at LPL Enterprise, LLC, based in Downers Grove, IL, with 10 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 Divorce Planning, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 102,563 clients with $25B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.35% |
Maximum advisory fee for Model Wealth Portfolios is 2.35% and is negotiable, plus manager fees ranging from 0% to 0.60%. Third-party asset management fees typically max out at 2.0%.
Fee Estimator
Location
1901 Butterfield Road, Suite 250, Downers Grove, IL, 60515
Get directionsHistory
Regulatory History (1)
Customer Dispute
April 2022Other Business ActivitiesSells Insurance
James is a Medicare sales broker for American Republic Insurance Services, spending minimal time on this. He also umpires and referees sports games, and sells fixed life insurance through Crump Life Insurance Services, dedicating about 10-20% of his time to this.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
PNC Investments
PNC InvestmentsBroker
J.P. Morgan Securities LLCBroker
State Registrations7 states
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
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