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James Phillips

LPL Financial LLC
46 Years of Experience
Sherman Oaks, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
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James Phillips is a registered investment advisor at LPL Financial LLC, based in Sherman Oaks, CA, with 46 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.

LPL Financial LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)

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.

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Location

15060 Ventura Blvd Ste 200, Sherman Oaks, CA, 91403

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History

Regulatory History (1)
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.
Financial
March 2016
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is a creative writer since 2007, dedicating minimal time. He is also an insurance agent with various insurance carriers since 2015 and the president of Phillips Gunn Associates LLC since 2018, dedicating a few hours per week.

Employment History
Current Registrations
LPL Financial LLC
July 2021 - Present · 4 yrs 10 mos
LPL Financial LLC
July 2021 - Present · 4 yrs 10 mos
LPL Financial LLCBroker
July 2021 - Present · 4 yrs 10 mos
Previous Registrations
Waddell & Reed
June 2015 - July 2021 · 6 yrs 1 mo
Waddell & ReedBroker
June 2015 - July 2021 · 6 yrs 1 mo
Wells Fargo Advisors, LLC
January 2008 - June 2015 · 7 yrs 5 mos
Wells Fargo Advisors, LLCBroker
January 2008 - June 2015 · 7 yrs 5 mos
A. G. Edwards & Sons, INC.Broker
April 2007 - January 2008 · 9 mos
A. G. Edwards & Sons, INC.
April 2007 - January 2008 · 9 mos
Oppenheimer & CO. INC.Broker
June 2003 - May 2007 · 3 yrs 11 mos
Fahnestock Asset Management
June 2003 - May 2007 · 3 yrs 11 mos
Wachovia Securities, LLC
May 2003 - July 2003 · 2 mos
Wachovia Securities, LLCBroker
September 1999 - July 2003 · 3 yrs 10 mos
Painewebber IncorporatedBroker
May 1996 - August 1999 · 3 yrs 3 mos
Dean Witter Reynolds INC.Broker
August 1993 - April 1996 · 2 yrs 8 mos
Sutro & CO. IncorporatedBroker
June 1991 - August 1993 · 2 yrs 2 mos
Progressive Asset Management, INC.Broker
November 1990 - June 1991 · 7 mos
Prudential-Bache Securities INC.Broker
August 1989 - November 1990 · 1 yr 3 mos
Thomson Mckinnon Securities INC.Broker
February 1989 - August 1989 · 6 mos
Sutro & CO. IncorporatedBroker
April 1987 - March 1989 · 1 yr 11 mos
Drexel Burnham Lambert IncorporatedBroker
August 1984 - March 1987 · 2 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1981 - August 1984 · 3 yrs 7 mos
Cal-Western Securities CO.Broker
March 1978 - December 1979 · 1 yr 9 mos
California-Western States Life Insurance CompanyBroker
March 1978 - December 1979 · 1 yr 9 mos
State Registrations4 states
CAFLGAOR
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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