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JH
ChFC
JH
ChFC

James Henry

LPL Financial LLC
44 Years of Experience
Victoria, TX
BrokerSells Insurance
View SEC Summary
View SEC Summary

James Henry is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Victoria, TX, with 44 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1717 N. Laurent, Ste. 103, Victoria, TX, 77901

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

James operates Crossroads Wealth Management as a DBA for his LPL business, dedicating full-time hours to it. He also owns commercial and condo rental properties, acts in a fiduciary capacity for a trust, and runs an insurance agency selling fixed life, annuities, long-term care, and Medicare supplement products, spending about 10-20% of his time on the insurance business.

Employment History
Current Registrations
LPL Financial LLCBroker
August 2018 - Present · 8 yrs 2 mos
LPL Financial LLC
August 2018 - Present · 8 yrs 2 mos
Previous Registrations
Cambridge Investment Research, INC.Broker
July 2011 - September 2018 · 7 yrs 2 mos
Cambridge Investment Research Advisors, INC.
July 2011 - September 2018 · 7 yrs 2 mos
Investment Advisors
May 2002 - July 2011 · 9 yrs 2 mos
Proequities, INC.Broker
July 2001 - July 2011 · 10 yrs
Royal Alliance Associates, INC.Broker
November 1989 - July 2001 · 11 yrs 8 mos
Integrated Resources Equity CorporationBroker
January 1982 - November 1989 · 7 yrs 10 mos
Mutual Benefit Financial Service CompanyBroker
November 1981 - December 1981 · 1 mo
State Registrations25 states
AKALARAZCACOFLGAHIIAIDINKYLAMSNCNVNYOHOKORSCTXUTWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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