JL
JL
James Lowe
44 Years of Experience
Hardeeville, SC
2 DisclosuresBroker
James Lowe is a registered investment advisor at Oppenheimer & CO. INC., based in Hardeeville, SC, 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 Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1159 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B
Fee Structure
Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Hardeeville, SC
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2016Settled
Regulatory
November 1990Final
Employment History
Current Registrations
Oppenheimer & CO. INC.
October 2006 - Present · 20 yrs
Oppenheimer & CO. INC.
January 2002 - Present · 24 yrs 9 mos
Oppenheimer & CO. INC.Broker
January 2002 - Present · 24 yrs 9 mos
Previous Registrations
Tradewell Discount Investing, LLCBroker
February 1998 - October 2001 · 3 yrs 8 mos
Josephthal & CO., INC.Broker
December 1989 - January 2002 · 12 yrs 1 mo
J F Lowe & Company IncorporatedBroker
December 1988 - December 1989 · 1 yr
Greentree Securities CORP.Broker
January 1988 - December 1988 · 11 mos
Brooks Weinger Robbins & Leeds INC.Broker
October 1984 - February 1988 · 3 yrs 4 mos
J. W. Gant & Associates, INC.Broker
September 1984 - October 1984 · 1 mo
Vanderbilt Securities, INC.Broker
August 1984 - September 1984 · 1 mo
Norbay Securities INC.Broker
May 1983 - August 1984 · 1 yr 3 mos
Dean Witter Reynolds INC.Broker
October 1982 - March 1983 · 5 mos
Blinder, Robinson & Co.,inc.Broker
June 1982 - May 1983 · 11 mos
State Registrations51 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.