James Nix
James Nix is a registered investment advisor at LPL Financial LLC, based in Birmingham, AL, with 39 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
2201 Providence Park Suite 200, Birmingham, AL, 35242
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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 operates Horizons Financial Group, Inc. as a DBA for his LPL business. He is also the CEO/Agent of Horizons Financial Insurance Group, LLC, an insurance agency, and an agent for non-variable insurance, dedicating about 10% of his time to these insurance-related activities. Additionally, James is involved in real estate rental through Horizons Financial Insurance Group, LLC, spending minimal time on it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Horizons Financial Group, INC.
Triad Advisors LLCBroker
Triad Advisors, INC.
MML Investors Services, INC.
MML Investors Services, INC.Broker
Round Hill Securities, INC.Broker
International Securities Group, INC.Broker
Vanguard CapitalBroker
Morgan Keegan & Company, INC.Broker
Central Brokerage Services, INC.Broker
State Registrations7 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.