James KlimpelCRD Number: 874549
Current Firm: Valic Financial Advisors, Inc.
James Klimpel (CRD# 874549) is an Investment Advisor Representative working at Valic Financial Advisors, Inc. in Columbia, SC and has over 33 years of experience in the finance industry.
Lpl Financial LLC
Lpl Financial LLC
Davinci Financial Designs
|Aig Retirement Advisors||Peoria, IL||Mar 2008 - Current||10|
|Horace Mann Investors||Ballwin, MO||May 2000 - Mar 2008||7|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1985|
|S65||NASAA Investment Advisors Law Examination||May 2008|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Regulatory Event
Total Assets Under Management24,745MILLIONS
Total Number of Accounts872,893ACCOUNTS
Average Account Value$28,348
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
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