James Winters
James Winters is a registered investment advisor at Ip Financial Advisory Services LLC, based in Charlotte, NC, with 41 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 4 more. Their firm serves 2,041 clients with $460M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
IP Financial Advisory Services offers managed account programs where clients pay a fee for portfolio management. Representatives customize investment portfolios based on the client's risk tolerance and investment objectives, monitoring performance and rebalancing as needed. The firm has full discretion over client accounts, but clients can set restrictions. The minimum initial investment is negotiable.
Location
5950 Fairview Road, Suite 140, Charlotte, NC, 28210
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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 an insurance broker doing business as Commonwealth Pension Management, L.L.C., selling and servicing fixed insurance products since 1985. This takes about 10-20% of his time.
Employment History
Current Registrations
Ip Financial Advisory Services LLC
Innovation Partners LLC
Innovation Partners LLCBroker
Previous Registrations
Grove Point Advisors, LLC
H. Beck, INC.
Grove Point Investments, LLCBroker
J. A. Winters, JR.
Investors Security Company, INC.Broker
H. Beck, INC.Broker
Investors Security Company, INC.Broker
Manequity, INC.Broker
Investors Security Company, INC.Broker
State Registrations1 state
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.