James Dumbeck
James Dumbeck is a CFP-designated registered investment advisor at LPL Financial LLC, based in Huntington Beach, CA, with 29 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Huntington Beach, CA
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Regulatory History (1)
Customer Dispute
February 2009Other Business ActivitiesSells Insurance
James operates under the DBA TDK Financial Group for his LPL business since 2018. He also has non-variable insurance activities since 2021 and is a partner at Wavelength Insurance Consulting, Inc. DBA Watermark Life Insurance Services, spending minimal time on it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Waddell & Reed
Waddell & ReedBroker
Banc of America Investment Services, INC.Broker
Ba Investment Services, INC.Broker
State Registrations19 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.