James Lyon
James Lyon is a registered investment advisor at LPL Financial LLC, based in The Woodlands, TX, 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
9595 Six Pines Dr Ste 6330, The Woodlands, TX, 77380
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James sells non-variable insurance since 2002 and operates under the DBA WWB Woodlands Wealth Builders since 2011, dedicating full-time hours. He also uses Sovereign Financial Services as a DBA for his LPL business, spending about half his time on it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Waddell & Reed, INC.
Waddell & Reed, INC.Broker
State Registrations47 states
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