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JP
CFP
JP
CFP

James Puplava

Financial Sense Advisors, INC.
45 Years of Experience
San Diego, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

James Puplava is a CFP-designated registered investment advisor at Financial Sense Advisors, INC., based in San Diego, CA, with 45 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 Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 597 clients with $840M in assets under management.

Financial Sense Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10 advisors
Number of Clients
597 clients
Average Client Portfolio
$1.4M average
Assets Under Management
$835.6M

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K1.30%
$500K - $2.0M0.85%
$2.0M - $4.5M0.80%
$4.5M - $8.0M0.75%
$8.0M - $13.0M0.70%
$13M+0.60%

Annual management fees are dependent on the account objective and can be negotiated.

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

Location

10920 Via Frontera, Suite 500, San Diego, CA, 92127

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Civil
October 2006
Final
Customer Dispute
May 2004
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James owns an insurance agency, spending minimal time on it, and also owns rental real estate. He dedicates full-time hours to providing investment advisory services through Financial Sense Advisors and spends about 10-20% of his time participating in podcasts and writing articles for Financialsense.com.

Employment History
Current Registrations
Financial Sense Advisors, INC.
March 2004 - Present · 22 yrs 7 mos
Financial Sense Securities, INC.Broker
September 1996 - Present · 30 yrs 1 mo
Previous Registrations
LPL Financial LLCBroker
August 2016 - January 2017 · 5 mos
Linsco/private Ledger CORP.Broker
April 1984 - October 1996 · 12 yrs 6 mos
Great American Securities INC.Broker
September 1982 - May 1984 · 1 yr 8 mos
Hth Investments INC.Broker
May 1982 - September 1982 · 4 mos
Linsco/private Ledger CORP.Broker
August 1981 - October 1996 · 15 yrs 2 mos
State Registrations51 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
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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