James Allen
James Allen is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Knoxville, TN, with 33 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
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.