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James Wert

LPL Financial LLC
38 Years of Experience
Wilkes-Barre, PA
1 DisclosureBroker
View SEC Summary
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James Wert is a registered investment advisor at LPL Financial LLC, based in Wilkes-Barre, PA, with 38 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

101 Hazle St, Wilkes-Barre, PA, 18703-1205

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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
August 2007
Denied
View Full SEC ReportHow to Read Disclosures
Other 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
May 2022 - Present · 4 yrs 5 mos
LPL Financial LLCBroker
May 2022 - Present · 4 yrs 5 mos
Previous Registrations
CUNA Brokerage Services, INC.
October 2005 - May 2022 · 16 yrs 7 mos
CUNA Brokerage Services, INC.Broker
October 1993 - May 2022 · 28 yrs 7 mos
CUNA Brokerage Services, INC.Broker
May 1991 - October 1993 · 2 yrs 5 mos
Prudential-Bache Securities INC.Broker
February 1990 - December 1990 · 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1989 - February 1990 · 1 yr 1 mo
Fsc Securities CorporationBroker
September 1988 - January 1989 · 4 mos
Heritage Equity Planning CorporationBroker
August 1987 - September 1988 · 1 yr 1 mo
Focus Securities, INC.Broker
May 1987 - August 1987 · 3 mos
State Registrations28 states
AKARAZCACODEFLINKYLAMDMNNCNJNMNVNYOHOKPARISCTNTXVAWAWIWV
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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