James Filippi
James Filippi is a registered investment advisor at LPL Financial LLC, based in Rancho Cucamonga, CA, 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 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
Rancho Cucamonga, CA
Get directionsHistory
Regulatory History (1)
Customer Dispute
August 2007Other Business Activities
James operates JFILIPPIFINANCIAL as a DBA for his LPL business, dedicating a few hours per week. He also provides maintenance help with the Joseph Filippi Winery, a family business, also dedicating a few hours per week.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
D.A. Davidson & CO.Broker
D.A. Davidson & CO.
Crowell Weedon & CO.Broker
Crowell Weedon & CO.
Crowell, Weedon & CO.
Crowell, Weedon & CO.Broker
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations7 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
More Advisors
- Vi Chan, CFALPL Financial LLC
- Michael Bailey, CFPAmeriprise Financial Services, LLC
- Steven Lopez, CFPStrategic Advisers LLC
- Daniel Baker, CFPTrinity Capital Management, LLC
- Art Cardenas, CFPOsaic Wealth, INC.
- Gor Antashyan, CFPEdward Jones