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James Gibbs

Equitable Advisors, LLC
24 Years of Experience
Springfield, IL
6 DisclosuresBroker
View SEC Summary
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James Gibbs is a registered investment advisor at Equitable Advisors, LLC, based in Springfield, IL, with 24 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 Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning, and 1 more. Their firm serves 73,011 clients with $42B in assets under management.

Equitable Advisors, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4651 advisors
Number of Clients
73,011 clients
Average Client Portfolio
$582K average
Assets Under Management
$42.5B

Fee Structure

Planning is included in investment management (also available separately)

Equitable Advisors offers investment management through LPL Financial programs and third-party asset managers (TAMPs). Fees vary depending on the program and assets invested.

For LPL programs like SAM, fees are based on a percentage of your portfolio. In some cases, you can choose whether to pay transaction charges directly or have the advisor pay them, which affects the overall advisory fee.

When using TAMPs, the fees are determined by the TAMP and a portion is paid to Equitable Advisors. The specific fees, minimums, and arrangements vary by TAMP, so it's important to review their brochures.

Equitable Advisors also offers ERISA fiduciary services to retirement plans, with fees determined by the specific services provided.

View Full SEC Brochure

Location

4341 Acer Grove Drive, Suite 400C, Springfield, IL, 62711

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2020
Denied
Customer Dispute
July 2016
Denied
Employment Separation After Allegations
November 2008
Regulatory
December 2002
Final
Customer Dispute
April 2002
Settled
Customer Dispute
June 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James and his wife are the sole members of RMG Capital, LLC, which owns rental property. James spends minimal time on this activity.

Employment History
Current Registrations
Equitable Advisors, LLC
August 2009 - Present · 17 yrs 2 mos
Equitable Advisors, LLCBroker
August 2009 - Present · 17 yrs 2 mos
Previous Registrations
Aig Retirement Advisors, INC.
March 2004 - November 2008 · 4 yrs 8 mos
Aig Retirement Advisors, INC.Broker
March 2004 - November 2008 · 4 yrs 8 mos
Banc One Securities Corporation
July 2003 - September 2003 · 2 mos
Banc One Securities CorporationBroker
May 2003 - September 2003 · 4 mos
Invest Financial CorporationBroker
May 2001 - April 2002 · 11 mos
Edward JonesBroker
January 2000 - April 2001 · 1 yr 3 mos
American Express Financial Advisors INC.Broker
January 2000 - April 2000 · 3 mos
Ids Life Insurance CompanyBroker
January 2000 - April 2000 · 3 mos
State Registrations12 states
ALAZCACOFLIAILINMONCTNWA
AdvisorBrokerBoth

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
No exam information available for this advisor.
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