James Johnson
James Johnson is a registered investment advisor at LPL Financial LLC, based in Salt Lake City, UT, 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
Salt Lake City, UT
Get directionsHistory
Regulatory History (3)
Customer Dispute
September 2008Customer Dispute
September 2003Customer Dispute
September 1994Other Business ActivitiesSells Insurance
James manages a business entity for tax/investment purposes and is a DBA for LPL business, dedicating full-time hours to each. He also holds a non-variable insurance license, spending minimal time on it, and manages another business entity for tax purposes full-time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Scf Investment Advisors, INC.
Scf Securities, INC.Broker
Securities America Advisors, INC.
Securities America, INC.Broker
Nations Financial Group, INC.
Nations Financial Group, INC.Broker
RBC Dain Rauscher INC.Broker
RBC Dain Rauscher INC.
Dain Rauscher IncorporatedBroker
Prudential Securities IncorporatedBroker
Painewebber IncorporatedBroker
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.