Marshall James, financial advisor Norco CA
96 score

Marshall James

CRD Number: 3088015
Current Firm: Lpl Financial LLC

Marshall James (CRD# 3088015) is an Investment Advisor Representative working at Lpl Financial LLC in Norco, CA and has over 18 years of experience in the finance industry. Marshall James has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Lpl Financial LLC Glendora, CA Feb 2007 - Current 9
Pension Portfolio's La Verne, CA Aug 1998 - Feb 2007 8
Royal Alliance Associates, Inc. La Verne, CA Jul 1998 - Feb 2007 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1998
S65 NASAA Investment Advisors Law Examination Feb 1999
Contact Info for Marshall F. James
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • CA
  • 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
96
Clean Record
This advisor has a clean track record with regulators.

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