How trustworthy is your Financial Advisor?

CHECK FOR RED FLAGS

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See the full picture before you decide

Nearly 100,000 registered financial advisors have customer disputes, bankruptcies, criminal activity, and more on their records. In 2023, about 60 red flags were recorded daily. That's why it's crucial to check if your advisor has any red flags and decide whether you're comfortable with them.

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ADVISOR PROFILE

1. 8/1/2013 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - AGENT - Time Spent 15% - HEALTH INSURANCE BENEFITS TO INDIVIDUALS. 2. 10/02/2014 - No Business Name - Investment Related - At Reported Business Location(s) - OTHER--PRE-PAID LEGAL - Started 10/01/2014 - 6 Hours Per Month/3 Hours During Securities Trading. 3. 7/21/2020 - Chase Enterprises Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 7/1/2010 - 10 Hours Per Month/1 Hour During Securities Trading. 4. 3/31/2021 - HighPoint Advisor Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 03/05/2021 - 40 Hours Per Month/0 Hours During Securities Trading - I provide investment advisory services through HighPoint Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 03/2021. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 11/12/2021 - CEF INSURANCE GROUP - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 09/01/2021 - 40 Hours Per Month/10 Hours During Securities Trading 6. 07/27/2023 - Solar Energy - Not Investment Related - Home Based - Outside/W-2 Employment - Start Date 07/17/2023 - 20 Hours Per Month/ 10 Hours During Trading 7. 08/21/2023 - Kokomoo - Not Investment Related - Various Farmers Market - Outside/W-2 Employment - Retail Clerk - Start Date 08/01/2023 - 40 Hours Per Month/ 0 Hours During Trading 8. 08/30/2023 - C|E|F Advisors Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 07/01/2023 - 40 Hours Per Month/ 40 Hours During Trading

FIRM INFORMATION

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James Devereux Chase JR

Experience: 20 years / 7 firms

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