JH
James L. Huber
IPI WEALTH MANAGEMENT
Quincy, IL 62305
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CRD#: 7265226
JH
Professional summary
James Lee Huber, who also goes by James Huber, is a registered financial advisor currently at IPI WEALTH MANAGEMENT, INC. located in Quincy, Illinois and INVESTMENT PLANNERS, INC. located in Quincy, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. James has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Huber
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.
QUINCY PUBLIC SCHOOLS FOUNDATION DREAM BIG POSITION: n/a NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/05/2023 ADDRESS: 3322 Maine St, Quincy IL 62301, United States DESCRIPTION: Sit on finance committee where matters of budgeting, accountancy, and investment are discussed. Role is to offer insights into person management, event organization, and define/review investment concepts as necessary.Role is NOT intended to offer advisory or financial management service. This is provided by the foundations enlisted financial advisor.
CRS (Client Relationship Summary) - RIA
Click below to view James Lee Huber'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
July 10, 2023 - Present
IPI WEALTH MANAGEMENT, INC.
Office #1: 3701 East Lake Center Dr. Suite #1, Quincy, IL 62305RIA
CRD#: 111872
Quincy, IL
Current
July 10, 2023 - Present
INVESTMENT PLANNERS, INC.
Office #1: 3701 East Lake Center Dr. Suite #1, Quincy, IL 62305BD
CRD#: 18557
Quincy, IL
Past
November 9, 2021 - July 17, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Quincy, IL
Past
July 30, 2020 - July 17, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Quincy, 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".
IW
IPI WEALTH MANAGEMENT, INC.
IPI ASSET MANAGEMENT, INC. | VOGEL & COMPANY, LLC | KOSHINSKI ASSET MANAGEMENT, INC.-DBA IPI ASSET MANAGEMENT, INC. | KOSHINSKI ASSET MANAGEMENT, INC. DBA INVESTMENT PLANNERS | KOSHINSKI ASSET MANAGEMENT INC. | IPI WEALTH MANAGEMENT, INC. | IPI WEALTH MANAGEMENT, INC.
CRD#: 111872 / SEC#: 801-56878
RIA
Registered Investment Advisory firm - (11/1/1999 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
Illinois(7/10/2023)
IAR
Illinois(7/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/13/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 7/30/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IW
IPI WEALTH MANAGEMENT, INC.
IPI ASSET MANAGEMENT, INC. | VOGEL & COMPANY, LLC | KOSHINSKI ASSET MANAGEMENT, INC.-DBA IPI ASSET MANAGEMENT, INC. | KOSHINSKI ASSET MANAGEMENT, INC. DBA INVESTMENT PLANNERS | KOSHINSKI ASSET MANAGEMENT INC. | IPI WEALTH MANAGEMENT, INC. | IPI WEALTH MANAGEMENT, INC.
CRD#: 111872 / SEC#: 801-56878
RIA
Registered Investment Advisory firm - (11/1/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
226 W. Eldorado, Decatur, IL 62522
Mailing Address
P.o. Box 170, Decatur, IL 62525-0170
Phone number
(217) 425-6340
Established
Firm type
Fiscal year end
# of Employees
73
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10,743 |
| AUM (Assets Under Management) | $ 2,248,994,441 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
