James Caristia is a registered investment advisor at LPL Financial LLC, based in Sparta, NJ, with 16 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
336 Sparta Ave, Sparta, NJ, 07871
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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James operates his LPL business through CKW Wealth Advisors, LLC, CKW Wealth Management, LLC, and PlanWealth Financial Group. He is also a managing member of CARISTIA, KULSAR & WADE, LLC, a CPA affiliate program, dedicating nearly full-time hours to this role.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
1st Global Advisors INC
1st Global Capital CORP.Broker
State Registrations2 states
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