James Wert
James Wert is a registered investment advisor at LPL Financial LLC, based in Wilkes Barre, PA, with 38 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
566 S Main St, Wilkes Barre, PA, 18701
Get directionsHistory
Regulatory History (1)
Customer Dispute
August 2007Other Business Activities
James operates under several DBAs for his LPL business, including MEMBERS Financial Services, PenFed Wealth Management, and Dover Federal Investment and Retirement Center. These activities are investment-related, taking about 10-20% of James's time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
CUNA Brokerage Services, INC.
CUNA Brokerage Services, INC.Broker
CUNA Brokerage Services, INC.Broker
Prudential-Bache Securities INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Fsc Securities CorporationBroker
Heritage Equity Planning CorporationBroker
Focus Securities, INC.Broker
State Registrations27 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.