John Im, financial advisor Napa CA

John Im

CRD Number: 3074173
Current Firm: Lpl Financial LLC

John Im (CRD# 3074173) is an Investment Advisor Representative working at Lpl Financial LLC in Napa, CA and has over 25 years of experience in the finance industry.

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Company Name Location Dates Years
Travis Credit Union Napa, CA Nov 2020 - Current 3
Lpl Financial LLC Napa, CA Nov 2020 - Current 3
U.s. Bancorp Investments, Inc. Napa, CA Sep 2016 - Nov 2020 4
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Sep 2016 1
Morgan Stanley Napa, CA Jun 2014 - Sep 2016 2
Dowse Securities Management Corp Napa, CA Feb 2013 - Jun 2014 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1998
S66 NASAA Uniform Combined State Law Examination Feb 2011
Contact Info for John M. Im
Phone Number: 704-733-3300
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    368,019
    MILLIONS
  • Total Number of Accounts
    1,688,501
    ACCOUNTS
  • Average Account Value
    $217,956
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, WY

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