James Zabatta
James Zabatta is a CFA-designated registered investment advisor at LPL Enterprise, LLC, based in Melville, NY, with 23 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
445 Broadhollow Road, Suite 405, Melville, NY, 11747
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Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is an independent insurance broker for multiple companies, focusing on health insurance. He also serves as a director and treasurer for Zabatta, spends a few hours per week as an energy broker, and volunteers as a Boy Scout troop leader.
Employment History
Current Registrations
LPL Enterprise, LLCBroker
LPL Enterprise, LLC
Previous Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, INC.Broker
Professional Planning Services
American Portfolios Advisors, INC
American Portfolios Financial Services, INC.Broker
Investment Professionals, INC.Broker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Painewebber IncorporatedBroker
State Registrations4 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.