James Coleman
James Coleman is a registered investment advisor at LPL Financial LLC, based in Waterbury, CT, with 36 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
751 Watertown Ave., Waterbury, CT, 06708
Get directionsHistory
Regulatory History (3)
Customer Dispute
August 2008Customer Dispute
June 2004Customer Dispute
April 2004Other Business ActivitiesSells Insurance
James operates Coleman Financial Advisory Group LLC as a DBA for his LPL business and sells non-variable insurance products such as life insurance and long-term care, dedicating full-time hours to each. He also co-owns real estate rental properties and is involved with the Society of Financial Awareness, spending minimal time on these activities.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ids Life Insurance CompanyBroker
State Registrations20 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.
Exams
More Advisors
- Patrick NaughtonLPL Financial LLC
- Patricia Gugliotti, CFPLPL Financial LLC
- Mark Shumilla, ChFCState Farm Investment Management CORP.
- Conrad Tarte, CFPIndependent Financial Group, LLC