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CFP
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CFP

James Fanning

LPL Financial LLC
11 Years of Experience
Fort Collins, CO
BrokerSells Insurance
View SEC Summary
View SEC Summary

James Fanning is a CFP-designated registered investment advisor at LPL Financial LLC, based in Fort Collins, CO, with 11 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4703 Boardwalk Dr Bldg B Ste 1, Fort Collins, CO, 80525

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

James operates under the DBA Retirement and Estate Advisors for his LPL business. He is also an agent selling life insurance, long-term care, and fixed annuities, dedicating minimal time to this activity. James is also associated with Retirement Asset Management LLC and Retirement and Estate Advisors INC.

Employment History
Current Registrations
LPL Financial LLC
August 2023 - Present · 3 yrs 2 mos
LPL Financial LLCBroker
August 2023 - Present · 3 yrs 2 mos
Previous Registrations
On Investment Management CO
October 2016 - August 2023 · 6 yrs 10 mos
The O.N. Equity Sales CompanyBroker
August 2015 - August 2023 · 8 yrs
State Registrations28 states
ARAZCACOFLGAIAIDILINKSMEMIMNMOMTNCNENMOHOKORPASDTXWAWIWY
AdvisorBrokerBoth

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
No exam information available for this advisor.
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