James R Wallace
Investment adviser representative at Northeast Planning Associates, Inc.
12 yearsExperience
1 stateRegistered in
$414MFirm assets
9 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
12 years in the industry.
- Northeast Planning Associates, Inc.Aug 2026 to now
- LPL Financial, LLCAug 2026 to now
- Fidelity InvestmentsOct 2020 to Aug 2026
- J.P. Morgan Securities LLCDec 2019 to Oct 2020
- JPMorgan Chase Bank, N.A.Dec 2019 to Oct 2020
- UnemployedNov 2019 to Nov 2019
- LPL Financial, LLCDec 2014 to Oct 2019
- Northeast Planning Associates, Inc.Nov 2014 to Sep 2019
Exams passed
- Series 63 · Uniform Securities Agent State Law2010
- Series 66 · Uniform Combined State Law2011
State registrations
Registered as an investment adviser representative in 1 state (NH).
Northeast Planning Associates, Inc.
$414MAssets managed
959Clients
74Advisers
9 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5556536
- Firm CRD
- 131406