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James Mashey

LPL Enterprise, LLC
33 Years of Experience
Cranberry Township, PA
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

James Mashey is a registered investment advisor at LPL Enterprise, LLC, based in Cranberry Township, PA, with 33 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 Divorce Planning, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 102,563 clients with $25B in assets under management.

LPL Enterprise, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3138 advisors
Number of Clients
102,563 clients
Average Client Portfolio
$243K average
Assets Under Management
$24.9B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.35%

Maximum advisory fee for Model Wealth Portfolios is 2.35% and is negotiable, plus manager fees ranging from 0% to 0.60%. Third-party asset management fees typically max out at 2.0%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2009 Mackenzie Way Ste 100 Pmb, 188, Cranberry Township, PA, 16066

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History

Regulatory History (3)
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.
Customer Dispute
February 2025
Denied
Customer Dispute
September 2010
Denied
Customer Dispute
March 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James operates Sarver Financial Group as a DBA for his LPL business, dedicating minimal time. He also sells property and casualty insurance and owns a golf simulator business, dedicating about 10-20% of his time to the latter.

Employment History
Current Registrations
LPL Enterprise, LLC
November 2024 - Present · 1 yr 11 mos
LPL Enterprise, LLCBroker
November 2024 - Present · 1 yr 11 mos
Previous Registrations
Prudential Financial Planning Services
November 2017 - November 2024 · 7 yrs
Pruco Securities, LLC.Broker
November 2017 - November 2024 · 7 yrs
Farmers Financial Solutions, LLCBroker
March 2013 - October 2017 · 4 yrs 7 mos
LPL Financial LLCBroker
October 2011 - January 2013 · 1 yr 3 mos
LPL Financial LLC
October 2011 - January 2013 · 1 yr 3 mos
Trustmont Advisory Group, INC.
February 2010 - October 2011 · 1 yr 8 mos
Trustmont Financial Group, INC.Broker
February 2010 - October 2011 · 1 yr 8 mos
Tower Square Securities, INC.
August 2007 - December 2009 · 2 yrs 4 mos
Tower Square Securities, INC.Broker
October 2002 - December 2009 · 7 yrs 2 mos
Eagle Strategies CORP
April 2002 - October 2002 · 6 mos
Nylife Securities INC.Broker
January 2002 - September 2002 · 8 mos
Pruco Securities CorporationBroker
September 1992 - October 2001 · 9 yrs 1 mo
State Registrations15 states
AZCAFLKSMDNCNJNVOHORPASCTXVAWV
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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