James Hanna
James Hanna is a registered investment advisor at LPL Enterprise, LLC, based in Garden Grove, CA, with 37 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
9828 Garden Grove Blvd, Suite 205, Garden Grove, CA, 92844
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Regulatory History (1)
Employment Separation After Allegations
June 1999Other Business ActivitiesSells Insurance
James is an insurance agent at a non-Pru insurance brokerage since 2012, selling property/casualty, health, group health, and disability insurance. He dedicates minimal time to this activity.
Employment History
Current Registrations
LPL Enterprise, LLCBroker
LPL Enterprise, LLC
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
MML Investors Services, LLC
MML Investors Services, LLCBroker
Msi Financial Services, INC.
Msi Financial Services, INC.Broker
Metropolitan Life Insurance CompanyBroker
Nylife Securities INC.Broker
Nationwide Investment Services CorporationBroker
Lifeusa Securities, INC.Broker
Metropolitan Life Insurance CompanyBroker
Metlife Securities INC.Broker
State Registrations9 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.