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James Clark

LPL Financial LLC
38 Years of Experience
Dallas, TX
1 DisclosureBroker
View SEC Summary
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James Clark is a registered investment advisor at LPL Financial LLC, based in Dallas, TX, with 38 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Dallas, TX

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History

Regulatory History (1)
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
May 2019
Denied
View Full SEC ReportHow to Read Disclosures
Other 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
November 2018 - Present · 7 yrs 11 mos
LPL Financial LLCBroker
July 2015 - Present · 11 yrs 3 mos
Previous Registrations
Visionpoint Advisory Group
July 2015 - May 2019 · 3 yrs 10 mos
Cetera Investment Services LLCBroker
May 2014 - July 2015 · 1 yr 2 mos
Cetera Investment Advisers LLC
May 2014 - July 2015 · 1 yr 2 mos
Bok Financial Advisors
October 2009 - May 2014 · 4 yrs 7 mos
Bosc, INC.Broker
October 2009 - May 2014 · 4 yrs 7 mos
Sws Financial ServicesBroker
March 2009 - November 2009 · 8 mos
Sws Financial Services
January 2009 - November 2009 · 10 mos
Sanders Morris Harris INC.
June 2006 - January 2007 · 7 mos
Sanders Morris Harris INC.Broker
October 2005 - January 2007 · 1 yr 3 mos
Smh Capital Advisors, INC.
October 2005 - December 2006 · 1 yr 2 mos
Stephens INC.
May 2000 - October 2005 · 5 yrs 5 mos
Stephens INC.Broker
April 2000 - October 2005 · 5 yrs 6 mos
Compass Brokerage, INC.Broker
November 1993 - May 2000 · 6 yrs 6 mos
Banc One Securities CorporationBroker
October 1990 - December 1993 · 3 yrs 2 mos
Mbank Capital Markets, INC.Broker
September 1990 - October 1990 · 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1985 - May 1989 · 4 yrs
State Registrations6 states
ARNCNYSCTXWA
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.
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