James Faranda
James Faranda is a registered investment advisor at LPL Financial LLC, based in Albany, NY, with 27 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
4 Winners Circle, Albany, NY, 12205
Get directionsHistory
Regulatory History (1)
Customer Dispute
November 2001Other Business ActivitiesSells Insurance
James is an independent insurance agent selling fixed insurance products since 2001 and a notary public since 2008, dedicating minimal time to the latter. He also has investment-related activities through Broadview Wealth Management, including operating as a DBA for LPL business and providing tax preparation/accounting services, dedicating about half of his time to these activities.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
State Registrations22 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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