James Clark is a registered investment advisor at LPL Financial LLC, based in Dallas, TX, with 37 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
Dallas, TX
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Regulatory History (1)
Customer Dispute
May 2019Other Business Activities
James operates as Texas Private Wealth Advisors, a DBA for his LPL business, since 2019. He dedicates about a quarter of his time to this activity, including 8 hours during securities trading hours.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Visionpoint Advisory Group
Cetera Investment Services LLCBroker
Cetera Investment Advisers LLC
Bok Financial Advisors
Bosc, INC.Broker
Sws Financial ServicesBroker
Sws Financial Services
Sanders Morris Harris INC.
Sanders Morris Harris INC.Broker
Smh Capital Advisors, INC.
Stephens INC.
Stephens INC.Broker
Compass Brokerage, INC.Broker
Banc One Securities CorporationBroker
Mbank Capital Markets, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations5 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.