James Horn
James Horn is a CFP-designated registered investment advisor at LPL Financial LLC, based in Maryville, TN, 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
115 West Broadway Avenue, Maryville, TN, 37801-4703
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Regulatory History (1)
Regulatory
May 2003Other 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
Quality Financial Concepts
Previous Registrations
Crown Capital Securities, L.P.Broker
Securities America, INC.Broker
Foothill Securities, INC.Broker
Cue Financial Group, INC.Broker
High Mark Securities, INC.Broker
United Planners' Financial Services of America a Limited PartnerBroker
G. R. Phelps & CO., INC.Broker
First American National Securities, INC.Broker
State Registrations29 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.