James D. Keller
HIGHPOINT PLANNING PARTNERS
St. Charles, IL 60175
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CRD#: 5192022
Professional summary
James Dennis Keller, CFP® is a registered financial advisor currently at HIGHPOINT PLANNING PARTNERS located in St. Charles, Illinois and LPL FINANCIAL LLC located in St. Charles, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. James has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Insurance Planning
Employee and Employer Plan Ben...
Comprehensive Financial Planni...
Investment Planning
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes
Aliases
None
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. 11/22/2017 - WEALTHVIEW RETIREMENT SOLUTIONS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 01/01/2018 - 5 Hours Per Month / 0 Hours During Trading. 2. 03/29/2022 - No Business Name - Not Investment Related - Charles IL 60174 - DBA for LPL Business (entity for LPL business) - Start Date - 10/01/2018 - 1 Hours Per Month/0 Hours During Securities Trading. 3. 02/22/2024 - Keller Peterson Wealth Advisors, LLC - Other - Office Condo - Real Estate Rental - 2320 Dean Street Suite 202, St. Charles, IL 60175 - Start Date 02/08/2024 - 160 Hours Per Month/ During Trading 4. 02/29/2024 - Keller Peterson Wealth Advisors, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/25/2024 - 160 Hours Per Month/ 160 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view James Dennis Keller'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®
CFP®
Start date: 2011
Experience
Current
December 8, 2021 - Present
HIGHPOINT PLANNING PARTNERS
Office #1: 2320 Dean Street Suite 202, St. Charles, IL 60175RIA
CRD#: 316636
St. Charles, IL
Current
November 28, 2008 - Present
LPL FINANCIAL LLC
Office #1: 2320 Dean Street, Suite 202, St. Charles, IL 60175RIA
BD
CRD#: 6413
ST. CHARLES, IL
Past
November 12, 2013 - December 31, 2021
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 163768
St. Charles, IL
Past
November 28, 2008 - October 6, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
NAPERVILLE, IL
Past
October 12, 2006 - December 2, 2008
EDWARD JONES
RIA
CRD#: 250
ST CHARLES, IL
Past
September 12, 2006 - December 2, 2008
EDWARD JONES
BD
CRD#: 250
ST CHARLES, IL
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
Arizona(11/5/2013)
RR
Arkansas(3/4/2022)
RR
California(1/25/2022)
RR
Colorado(4/8/2015)
RR
Florida(3/26/2014)
RR
Illinois(11/28/2008)
IAR
Illinois(12/8/2021)
RR
Indiana(1/16/2014)
RR
Iowa(11/29/2022)
RR
Kentucky(7/19/2018)
RR
Michigan(5/31/2011)
RR
Minnesota(6/20/2018)
RR
Missouri(12/8/2021)
RR
New Hampshire(3/4/2022)
RR
New York(8/3/2022)
RR
North Carolina(9/11/2015)
RR
Ohio(3/8/2022)
RR
Oregon(7/16/2025)
RR
South Carolina(8/8/2017)
RR
Tennessee(2/18/2015)
RR
Texas(5/24/2011)
IAR
Texas(3/22/2022)
RR
Utah(1/25/2022)
RR
Washington(8/21/2023)
RR
Wisconsin(7/19/2013)
Exams
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.
Company Information
HIGHPOINT PLANNING PARTNERS
CRD#: 316636St. Charles, IL 60175TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
