James Coleman
James Coleman is a registered investment advisor at LPL Financial LLC, based in Waterbury, CT, with 36 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
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 Registrations19 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.