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James Zack

LPL Financial LLC
40 Years of Experience
Richmond Hill, GA
1 DisclosureBroker
View SEC Summary
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James Zack is a registered investment advisor at LPL Financial LLC, based in Richmond Hill, GA, with 40 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

Richmond Hill, GA

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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
April 2010
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
June 2024 - Present · 2 yrs 4 mos
LPL Financial LLCBroker
June 2024 - Present · 2 yrs 4 mos
Previous Registrations
Morgan Stanley
October 2011 - June 2024 · 12 yrs 8 mos
Morgan StanleyBroker
October 2011 - June 2024 · 12 yrs 8 mos
UBS Financial Services INC.
November 2004 - October 2011 · 6 yrs 11 mos
UBS Financial Services INC.Broker
November 2004 - October 2011 · 6 yrs 11 mos
Wachovia Securities, LLC
July 2003 - November 2004 · 1 yr 4 mos
Wachovia Securities, LLCBroker
July 2003 - November 2004 · 1 yr 4 mos
Prudential Securities Incorporated
April 1994 - July 2003 · 9 yrs 3 mos
Prudential Securities IncorporatedBroker
October 1992 - July 2003 · 10 yrs 9 mos
F.N. Wolf & CO., INC.Broker
May 1988 - October 1992 · 4 yrs 5 mos
Sherwood Capital, INC.Broker
February 1987 - May 1988 · 1 yr 3 mos
First Jersey Securities, INC.Broker
April 1986 - February 1987 · 10 mos
State Registrations33 states
AKALARAZCACOCTDCDEFLGAIDILINKSKYMAMDMEMIMNMTNCNHNJNYPASCTNTXVAWAWV
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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