James Allen
James Allen is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Knoxville, 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.
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
200 Prosperity Dr Pmb 241, Knoxville, TN, 37923
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2003Other Business ActivitiesSells Insurance
James sells life, health, disability, and long-term care insurance as a sole proprietor since 2007, also selling property and casualty insurance through Marville Ins Services, dedicating about 10-20% of his time. He also sells non-variable life insurance as a broker for Life, Health, DI, LTC and P&C business through Randy Allen and Associates, dedicating about a quarter of his time, since 2008. James also has ATW, LLC as a DBA for LPL business since 2012.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
MML Investors Services, INC.
MML Investors Services, INC.Broker
State Registrations10 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
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