James Mccabe is a CFP-designated registered investment advisor at LPL Financial LLC, based in La Canada Flintridge, CA, with 25 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
La Canada Flintridge, CA
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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.
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James operates Fair Harbor Financial Advisory as a DBA for his LPL business. This activity is investment-related and conducted at his reported business location.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Alps Distributors, INC.Broker
RBC Capital Markets, LLCBroker
Oppenheimer & CO. INC.Broker
Wedbush Securities INC.Broker
Pacific Growth Equities, LLCBroker
First New York Securities L.L.C.Broker
Banc of America Securities LLCBroker
Cibc World Markets CORP.Broker
State Registrations2 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.