James Poole
James Poole is a registered investment advisor at LPL Financial LLC, based in Irmo, SC, with 40 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
Irmo, SC
Get directionsHistory
Regulatory History (4)
Customer Dispute
July 2015Customer Dispute
October 2004Customer Dispute
March 2003Customer Dispute
June 2001Other Business ActivitiesSells Insurance
James operates his LPL business through Good Life Financial Advisors and spends full-time hours on it. He also owns rental real estate and sells various insurance products including life, health, disability, LTC, fixed, Medicare supplements, and final expense.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Stephens
StephensBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Legg Mason Wood Walker INC
Legg Mason Wood Walker, IncorporatedBroker
Prudential Securities IncorporatedBroker
A. G. Edwards & Sons, INC.Broker
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.