James G. Chandler

LPL ENTERPRISE

SAN JOSE, CA 95110

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CRD#: 4442568

Professional summary

James Gilbreath Chandler, who also goes by James G Chandler, James Gilbreath Chandler, Gil Chandler, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in San Jose, California.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 13 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James G Chandler | James Gilbreath Chandler | Gil Chandler

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gilbreath Chandler's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Gilbreath Chandler's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1731 Technology Dr Suite 600, San Jose, CA 95110

RIA

CRD#: 8733

SAN JOSE, CA

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1731 Technology Dr Suite 600, San Jose, CA 95110

RIA

CRD#: 8733

SAN JOSE, CA

Past

June 14, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SAN JOSE, CA

Past

June 14, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

SAN JOSE, CA

Past

September 2, 2022 - May 31, 2023

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

DANVILLE, CA

Past

September 1, 2022 - May 31, 2023

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Danville, CA

Past

December 16, 2020 - August 5, 2021

PFS INVESTMENTS INC.

CRD#: 10111

SANTA CLARA, CA

Past

December 15, 2020 - August 5, 2021

PFS INVESTMENTS INC.

RIA

CRD#: 10111

SANTA CLARA, CA

Past

September 27, 2018 - December 31, 2018

PFS INVESTMENTS INC.

RIA

CRD#: 10111

SANTA CLARA, CA

Past

September 27, 2018 - December 31, 2018

PFS INVESTMENTS INC.

CRD#: 10111

SANTA CLARA, CA

Past

January 30, 2014 - September 29, 2016

FORESTERS EQUITY SERVICES, INC.

RIA

CRD#: 18464

ALVISO, CA

Past

January 30, 2014 - September 29, 2016

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

May 31, 2012 - July 1, 2013

LINCOLN INVESTMENT

RIA

CRD#: 519

ALVISO, CA

Past

May 31, 2012 - July 1, 2013

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

Past

November 18, 2009 - September 30, 2011

LIGHTHOUSE CAPITAL CORPORATION

CRD#: 41812

ROSEVILLE, CA

Past

September 8, 2009 - November 3, 2009

QUESTAR CAPITAL CORPORATION

CRD#: 43100

ALVISO, CA

Past

April 12, 2007 - March 4, 2009

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

EMERYVILLE, CA

Past

April 12, 2007 - March 4, 2009

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

EMERYVILLE, CA

Past

December 13, 2006 - April 9, 2007

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

SAN JOSE, CA

Past

November 30, 2005 - September 5, 2006

PENSION PLANNERS SECURITIES, INC.

RIA

CRD#: 14068

RANCHO CORDOVA, CA

Past

November 30, 2005 - September 5, 2006

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

SACRAMENTO, CA

Past

December 6, 2001 - November 30, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CAMPBELL, CA

Past

November 14, 2001 - November 30, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 14, 2001 - November 30, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/14/2024)

IAR

California
(11/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/1/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James G. Chandler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gilbreath Chandler's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Gilbreath Chandler's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

ALLSTATE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL ADVISORS, LLC

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

FORESTERS EQUITY SERVICES, INC.

FORESTERS EQUITY SERVICES, INC.

LINCOLN INVESTMENT

LINCOLN INVESTMENT

LIGHTHOUSE CAPITAL CORPORATION

QUESTAR CAPITAL CORPORATION

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

ALLSTATE FINANCIAL SERVICES, LLC

PENSION PLANNERS SECURITIES, INC.

PENSION PLANNERS SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2001

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2001

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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