JC
James D. Chase
HIGHPOINT PLANNING PARTNERS
SAN DIEGO, CA 92101
Some features on this profile are disabled
CRD#: 4720062
JC
Professional summary
James Devereux Chase JR, who also goes by James D Chase, Jimmy D Chase, Jimmy Devereux Chase, is a registered financial advisor currently at HIGHPOINT PLANNING PARTNERS located in San Diego, California and LPL FINANCIAL LLC located in San Diego, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James D Chase | Jimmy D Chase | Jimmy Devereux Chase
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.
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 9) 02/05/2025 - Ascot LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - Irvine, CA - Start Date:01/21/2025 - 1 Hrs/Mth - 1 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view James Devereux Chase JR's 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®
NoneExperience
Current
November 3, 2021 - Present
HIGHPOINT PLANNING PARTNERS
Office #1: 600 West Broadway Suite 3200, San Diego, CA 92101RIA
CRD#: 316636
SAN DIEGO, CA
Current
August 1, 2013 - Present
LPL FINANCIAL LLC
Office #1: 600 W Broadway Ste 700, San Diego, CA 92101RIA
BD
CRD#: 6413
SAN DIEGO, CA
Past
March 12, 2021 - December 31, 2021
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 163768
Irvine, CA
Past
July 24, 2014 - March 5, 2021
LEVEL FOUR ADVISORY SERVICES
RIA
CRD#: 134086
ANAHEIM, CA
Past
August 1, 2013 - October 28, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
NEWPORT BEACH, CA
Past
January 12, 2010 - August 6, 2013
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
IRVINE, CA
Past
December 18, 2009 - August 6, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
IRVINE, CA
Past
September 11, 2008 - October 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
IRVINE, CA
Past
February 9, 2004 - August 25, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
LAGUNA NIGUEL, CA
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".
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
Registered Investment Advisory firm - (10/29/2021 Approved)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.RR
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
RR
Alabama(6/11/2025)
RR
Arizona(9/9/2016)
RR
California(8/1/2013)
IAR
California(11/3/2021)
RR
Colorado(10/10/2019)
RR
Florida(6/11/2025)
IAR
Illinois(11/9/2021)
RR
Iowa(3/26/2015)
RR
Nevada(3/29/2017)
RR
Oregon(4/8/2025)
RR
Texas(8/1/2013)
IAR
Texas(5/24/2022)
RR
Washington(6/7/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
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Contact information
Main Address
2651 Warrenville Road Suite 200, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 719-9222
Established
Firm type
Fiscal year end
# of Employees
104
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,813 |
| AUM (Assets Under Management) | $ 3,999,000,000 |
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.
