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James Hopper

LPL Financial LLC
34 Years of Experience
Dyersburg, TN
1 DisclosureBrokerSells Insurance
View SEC Summary
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James Hopper is a registered investment advisor at LPL Financial LLC, based in Dyersburg, TN, with 34 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

101 S Mill Ave, Dyersburg, TN, 38024

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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.
Regulatory
May 2007
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is an agent for White & Associates/First Citizens Insurance, selling fixed annuities, life insurance, and long-term care insurance, dedicating minimal time to this activity. He also operates under the DBA First Citizens Investment Services for his LPL business, dedicating all of his time to this.

Employment History
Current Registrations
LPL Financial LLC
October 2015 - Present · 11 yrs
LPL Financial LLCBroker
October 2015 - Present · 11 yrs
Previous Registrations
First Citizens Financial Plus, INC.
June 2004 - November 2015 · 11 yrs 5 mos
First Citizens Financial Plus, INC.Broker
August 1995 - November 2015 · 20 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1992 - August 1995 · 2 yrs 8 mos
Powell & Satterfield, INC.Broker
November 1991 - December 1992 · 1 yr 1 mo
State Registrations23 states
ALARAZCOFLGAILKSKYLAMDMIMOMSNMNYOKRISCTNTXVAWY
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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