James Thompson
James Thompson is a registered investment advisor at LPL Financial LLC, based in Amarillo, TX, with 42 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
6900 W I-40 Ste 297, Amarillo, TX, 79106-2509
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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 works as a freelance voice-over talent, dedicating minimal time to this non-financial activity. He also operates under several DBAs for his LPL business and is an independent agent selling life, long-term care, and fixed annuities, dedicating a few hours per week.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Banc One Securities CorporationBroker
Morgan Stanley Dw INC.Broker
Morgan Stanley
Kidder, Peabody & CO. IncorporatedBroker
State Registrations10 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.