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James Tait

LPL Financial LLC
39 Years of Experience
Oaks, PA
Broker
View SEC Summary
View SEC Summary

James Tait is a registered investment advisor at LPL Financial LLC, based in Oaks, PA, with 39 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

110 Black Rock Road, Oaks, PA, 19426

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History

Regulatory History
Clean regulatory record

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.

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Employment History
Current Registrations
LPL Financial LLCBroker
May 2025 - Present · 1 yr 5 mos
LPL Financial LLC
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Cuso Financial Services, L.P.
February 2007 - May 2025 · 18 yrs 3 mos
Cuso Financial Services, L.P.Broker
February 2007 - May 2025 · 18 yrs 3 mos
Cco Investment Services CORP.
August 2004 - February 2007 · 2 yrs 6 mos
Cco Investment Services CORP.Broker
August 2004 - February 2007 · 2 yrs 6 mos
Quick & Reilly, INC.
August 2002 - August 2004 · 2 yrs
Quick & Reilly, INC.Broker
May 2001 - August 2004 · 3 yrs 3 mos
Dreyfus Financial Services CorporationBroker
April 1997 - December 2000 · 3 yrs 8 mos
Dreyfus Investment Services CorporationBroker
June 1994 - May 2001 · 6 yrs 11 mos
Wheat, First Securities, INC.Broker
January 1991 - February 1993 · 2 yrs 1 mo
Butcher & Singer INC.Broker
November 1988 - January 1991 · 2 yrs 2 mos
Janney Montgomery Scott INC.Broker
March 1988 - November 1988 · 8 mos
Halpert, Oberst and CompanyBroker
May 1986 - March 1988 · 1 yr 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1985 - June 1986 · 6 mos
State Registrations25 states
AZCACTDCDEFLGAILMAMDMNMSNCNJNYORPARISCTXUTVAWAWIWY
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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