James Haupt, financial advisor Destrehan LA
93 score

James Haupt

CRD Number: 1189375
Current Firm: Lpl Financial LLC

James Haupt (CRD# 1189375) is an Investment Advisor Representative working at Lpl Financial LLC in Destrehan, LA and has over 20 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial, LLC New Orleans, LA Apr 2012 - Current 4
The Prudential Insurance Company Of America Metairie, LA May 2010 - Apr 2012 1
Pruco Securities, LLC Metairie, LA May 2010 - Apr 2012 1
Cadaret, Grant & Company, Inc. Mandeville, LA Feb 2009 - May 2010 1
Lakeview Financial Services Mandelville, LA Feb 2009 - May 2010 1
Unemployed Destrehan, LA Jul 2008 - Feb 2009 < 1
Bancorpsouth Investment Svcs., Inc. Jackson, MS Mar 2004 - Jul 2008 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1996
S65 NASAA Investment Advisors Law Examination Nov 1999
Contact Info for James M. Haupt
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • LA
  • TX
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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