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JH
CFP
JH
CFP

James Horn

LPL Financial LLC
39 Years of Experience
Maryville, TN
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

James Horn is a CFP-designated registered investment advisor at LPL Financial LLC, based in Maryville, TN, with 39 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
—
View Full SEC Brochure

Location

115 West Broadway Avenue, Maryville, TN, 37801-4703

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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.
Regulatory
May 2003
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is involved in several business activities, including serving as DBA for LPL Business, co-owning multiple real estate rental properties, and acting as President for QFC Services LLC, providing tax preparation services. He also works as an IAR for QFC Advisory LLC and spends about 10-20% of his time on non-variable insurance.

Employment History
Current Registrations
LPL Financial LLCBroker
May 2024 - Present · 2 yrs 6 mos
Quality Financial Concepts
January 2011 - Present · 15 yrs 10 mos
Previous Registrations
Crown Capital Securities, L.P.Broker
January 2018 - May 2024 · 6 yrs 4 mos
Securities America, INC.Broker
December 2016 - December 2017 · 1 yr
Foothill Securities, INC.Broker
August 2009 - December 2016 · 7 yrs 4 mos
Cue Financial Group, INC.Broker
January 2003 - August 2009 · 6 yrs 7 mos
High Mark Securities, INC.Broker
January 2002 - December 2002 · 11 mos
United Planners' Financial Services of America a Limited PartnerBroker
January 1992 - December 2001 · 9 yrs 11 mos
G. R. Phelps & CO., INC.Broker
May 1988 - December 1991 · 3 yrs 7 mos
First American National Securities, INC.Broker
August 1987 - August 1988 · 1 yr
State Registrations32 states
ALARAZCACODCFLGAILINKSKYMDMIMOMSNCNMNVNYOHOKORPASCTNTXUTVAWAWIWV
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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James Horn - Financial Advisor | TrueAdvisor