Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames William Filippi is an active investment advisor representative with LPL Financial LLC, located in Rancho Cucamonga, CA. James William Filippi has been in the financial services industry for over 20 years. James William Filippi is registered with the state of California as an investment advisor representative. James William Filippi also holds Series 7, 31, and 63 securities licenses, as well as a Series 65 license. James William Filippi has previous experience with D.A. Davidson & Co., Crowell Weedon & Co., and Morgan Stanley Smith Barney.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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CA
01/06/2014 - Present
LPL Financial LLC (RANCHO CUCAMONGA CA)
CA
11/25/2013 - 01/06/2014
D.A. DAVIDSON & CO. (WEST COVINA CA)
CA
11/04/2013 - 11/25/2013
CROWELL WEEDON & CO. (WEST COVINA CA)
CA
03/26/2012 - 11/04/2013
CROWELL, WEEDON & CO. (WEST COVINA CA)
CA
06/01/2009 - 03/28/2012
MORGAN STANLEY SMITH BARNEY (ONTARIO CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ONTARIO CA)
CA
03/04/2002 - 04/02/2007
MORGAN STANLEY DW INC. (ONTARIO CA)
BC
Issued 04/29/2002
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/03/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 03/01/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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