James Faranda
James Faranda is a registered investment advisor at LPL Financial LLC, based in Albany, NY, with 27 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
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 Registrations20 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.