JA
JA
James Adcock
37 Years of Experience
Carrolton, TX
2 DisclosuresBroker
James Adcock is a registered investment advisor at LPL Financial LLC, based in Carrolton, TX, with 37 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B
Fee Structure
Minimum Investment:$1K
Investment management only (planning not offered)
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.
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Location
Carrolton, TX
Get directionsHistory
Regulatory History (2)
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.
Employment Separation After Allegations
November 2011Customer Dispute
August 2003Denied
Employment History
Current Registrations
LPL Financial LLC
December 2011 - Present · 14 yrs 7 mos
LPL Financial LLCBroker
November 2011 - Present · 14 yrs 8 mos
Previous Registrations
LPL Financial LLC
November 2011 - December 2011 · 1 mo
Sws Financial Services, INC.Broker
August 2009 - November 2011 · 2 yrs 3 mos
Sws Financial Services, INC.
August 2009 - November 2011 · 2 yrs 3 mos
Wells Fargo Advisors, LLCBroker
August 2005 - August 2009 · 4 yrs
Wells Fargo Advisors, LLC
August 2005 - August 2009 · 4 yrs
Chase Investment Services CORP.
November 2001 - September 2005 · 3 yrs 10 mos
Chase Investment Services CORP.Broker
November 2000 - September 2005 · 4 yrs 10 mos
Bosc, INC.Broker
June 2000 - October 2000 · 4 mos
Wm Financial Services, INC.Broker
June 1999 - September 2000 · 1 yr 3 mos
Compass Brokerage, INC.Broker
October 1998 - April 1999 · 6 mos
Financial Network Investment CorporationBroker
November 1997 - October 1998 · 11 mos
Nylife Securities INC.Broker
January 1991 - December 1997 · 6 yrs 11 mos
First American National Securities, INC.Broker
November 1987 - November 1990 · 3 yrs
State Registrations4 states
FLGAOKTX
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.