James Cirocco
James Cirocco is a registered investment advisor at LPL Financial LLC, based in Elmsford, NY, with 13 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
45 Knollwood Rd Ste 101, Elmsford, NY, 10523
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is involved in several business activities. He works with Carminucci Agency selling property and casualty insurance for a few hours per week, and also dedicates full-time hours to CPC Wealth Management and about a quarter of his time to HTM Wealth Management Inc, both DBAs for his LPL business.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Lincoln InvestmentBroker
Legend Equities CorporationBroker
State Registrations5 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.