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JB
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James Bunting

LPL Financial LLC
26 Years of Experience
Charlotte, NC
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

James Bunting is a registered investment advisor at LPL Financial LLC, based in Charlotte, NC, with 26 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

4725 Piedmont Row Drive, Suite 400, Charlotte, NC, 28210

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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.
Financial
October 2018
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is compensated from investment-related sales of insurance and annuities through the firm and its affiliated entities. These entities include FTB Advisors Insurance Services, Inc. and First Horizon Insurance Services, Inc.

Employment History
Current Registrations
LPL Financial LLC
August 2025 - Present · 1 yr 2 mos
LPL Financial LLCBroker
August 2025 - Present · 1 yr 2 mos
Previous Registrations
First Horizon Advisors, INC.Broker
August 2019 - August 2025 · 6 yrs
First Horizon Advisors, INC
August 2019 - August 2025 · 6 yrs
Park Avenue Securities LLCBroker
August 2015 - September 2019 · 4 yrs 1 mo
Park Avenue Securities LLC
August 2015 - September 2019 · 4 yrs 1 mo
Stancorp Equities, INC.Broker
April 2011 - April 2015 · 4 yrs
Stancorp Investment Advisers, INC.
April 2011 - April 2015 · 4 yrs
Wells Fargo Advisors, LLCBroker
March 2011 - March 2011 · 0 mos
Wells Fargo Advisors, LLC
March 2011 - March 2011 · 0 mos
Robert W. Baird & CO. Incorporated
May 2010 - February 2011 · 9 mos
Robert W. Baird & CO. IncorporatedBroker
May 2010 - February 2011 · 9 mos
Morgan Stanley Smith Barney LLC
June 2009 - June 2010 · 1 yr
Morgan Stanley Smith BarneyBroker
June 2009 - June 2010 · 1 yr
Citigroup Global Markets INC.Broker
April 2009 - June 2009 · 2 mos
Hartford Equity Sales Company INC.Broker
April 2007 - December 2008 · 1 yr 8 mos
Ing Financial Advisers, LLCBroker
June 2004 - March 2007 · 2 yrs 9 mos
Manulife Financial Securities LLCBroker
August 1999 - May 2004 · 4 yrs 9 mos
State Registrations6 states
ALFLINNCPASC
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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