James Connor
James Connor is a registered investment advisor at LPL Financial LLC, based in Fairfield, OH, 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
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
7100 Dixie Hwy Ste 122, Fairfield, OH, 45014
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is the president of Tri-County Assurance Agency, Inc., a general insurance agency, spending a few hours per week on this. He also operates under SCOAPE Financial Group as a DBA for his LPL business, dedicating minimal time to it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Invest Financial Corporation
Invest Financial CorporationBroker
Investors Capital CORP.Broker
Forth Financial Securities, CorporationBroker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
State Registrations26 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.