James Famula is a registered investment advisor at LPL Enterprise, LLC, based in Basking Ridge, NJ, with 24 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
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Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
110 Allen Road, 2nd Floor, Basking Ridge, NJ, 07920
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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James is a golf instructor and a life member of the PGA, providing lessons as an independent contractor. He dedicates about 10-20% of his time to this activity.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Royal Alliance Associates, INC.
Royal Alliance Associates, INC.Broker
Allstate Financial Services, LLCBroker
Royal Alliance Associates, INC.Broker
E*trade Securities LLCBroker
Royal Alliance Associates, INC.Broker
UBS Painewebber INC.
UBS Painewebber INC.Broker
State Registrations5 states
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