James Keys is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Brenham, TX, with 34 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
105 E Main Ste 104, Brenham, TX, 77833
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Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is involved in several outside business activities, including selling non-variable and fixed insurance products through Neal Financial Group LP, Remington Insurance Group, and Keys/Swenson & Associates, Inc, where he is the owner and president, dedicating about 10-20% of his time. He is also a partner in a family business, House Keys Inc, which purchases and renovates homes for resale, taking minimal time.
Employment History
Current Registrations
LPL Financial LLC
Neal Financial Group, L.P.
LPL Financial LLCBroker
Previous Registrations
Washington Square Securities, INC.Broker
Advantage Capital CorporationBroker
Carillon Investments, INC.Broker
Nylife Securities INC.Broker
State Registrations2 states
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
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