James William Filippi

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2014 → Present
  Lpl Financial Llc
  Rancho Cucamonga, CA

Previous Registrations

• 2013-11-25 → 2014-01-06
  D.A. Davidson & Co.
  Claremont, CA
• 2013-11-04 → 2013-11-25
  Crowell Weedon & Co.
  West Covina, CA
• 2012-03-26 → 2013-11-04
  Crowell, Weedon & Co.
  West Covina, CA
• 2009-06-01 → 2012-03-28
  Morgan Stanley
  Ontario, CA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Ontario, CA
• 2002-05-07 → 2007-04-02
  Morgan Stanley Dw Inc.
  Ontario, CA
  Ontario, CA

Other Businesses

1. 11/4/2019 - JFILIPPIFINANCIAL - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/22/2019 - 10 Hours Per Month/0 Hours During Securities Trading. 2. 3/3/2020 - Joseph Filippi Winery - Not Investment Related - 12467 Baseline Rd. Rancho Cucamonga, CA 91731 - Other-Family Business - Started 02/14/2020 - 8 Hours Per Month/0 Hours During Securities Trading - Maintenance Help w/ Family Wine Business.

Exams

• S63 Uniform Securities Agent State Law Examination
  2002-04-29
• S65 Uniform Investment Adviser Law Examination
  2002-04-03

Other Names

• James Filippi