James Spooner is a registered investment advisor at LPL Financial LLC, based in Monroe, GA, with 23 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
Monroe, GA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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James is associated with The Spooner Financial Group, LLC, which serves as a DBA for his LPL business. He dedicates 100% of his time to this investment-related activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Edward Jones
Edward JonesBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Synovus Securities, INC.Broker
First Investors CorporationBroker
State Registrations6 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.