James Filippi
James Filippi is a registered investment advisor at LPL Financial LLC, based in Rancho Cucamonga, CA, with 24 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
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.
D.A. Davidson & CO.Broker
Crowell Weedon & CO.
Crowell Weedon & CO.Broker
Crowell, Weedon & CO.Broker
Crowell, Weedon & CO.
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
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.