James Walters is a registered investment advisor at 77 Financial Group, based in Carlsbad, CA, with 9 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 60 clients with $21M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.25% |
| $1M+ | 1.00% |
Fees may be negotiated or reduced at the sole discretion of 77 Financial Group.
Fee Estimator
Location
1241 Carlsbad Village Drive, Suite 100/A, Carlsbad, CA, 92008
Get directionsHistory
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 works as an insurance producer for Branca-Rampart Agency Inc., offering various insurance products to clients. This activity requires minimal time.
Employment History
Current Registrations
77 Financial Group
Previous Registrations
LPL Financial LLCBroker
Securities America, INC.Broker
Verus Capital Partners, LLC
Securities America, INC.Broker
Lincoln Financial Advisors Corporation
Lincoln Financial Advisors CorporationBroker
State Registrations3 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.