James Schaefer
Investment adviser representative at LPL Financial LLC
16 yearsExperience
1 stateRegistered in
ChFC®Designation
$819.1BFirm assets
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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
- Seminars and workshops
Experience
16 years in the industry.
- LPL Financial LLCMay 2026 to now
- Esl Investment Services, LLCMay 2026 to now
- Esl Federal Credit UnionApr 2026 to now
- UnemployedFeb 2026 to Apr 2026
- MML Investors Services LLCNov 2024 to Jan 2026
- Massmutual Life Insurance CompanyOct 2024 to Jan 2026
- Northwestern Mutual Wealth Management CompanyJul 2016 to Oct 2024
- Northwestern Mutual Investment Services, LLCApr 2011 to Nov 2024
- Northwestern Mutual Life Insurance CompanyJun 2010 to Oct 2024
Designations
- ChFC®
Exams passed
- Series 63 · Uniform Securities Agent State Law2011
State registrations
Registered as an investment adviser representative in 1 state (NY).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 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
- 5806569
- Firm CRD
- 6413