LJ
LJ
Lisa James
27 Years of Experience
Denver, CO
1 DisclosureBroker
Lisa James is a registered investment advisor at Raymond James & Associates, INC., based in Denver, CO, with 27 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
4643 South Ulster Street, Suite 1350, Denver, CO, 80237
Get directionsHistory
Regulatory History (1)
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Judgment / Lien
November 2015Other Business Activities
Lisa is an independent contractor for Touchstone Crystal Jewelry since 2016, hosting jewelry parties. This takes a few hours per week, including during trading hours.
Employment History
Current Registrations
Raymond James & Associates, INC.
September 2006 - Present · 19 yrs 8 mos
Raymond James & Associates, INC.
May 2006 - Present · 20 yrs
Raymond James & Associates, INC.Broker
May 2006 - Present · 20 yrs
Previous Registrations
Piper Jaffray & CO.
January 1999 - June 2006 · 7 yrs 5 mos
Piper Jaffray & CO.Broker
May 1998 - June 2006 · 8 yrs 1 mo
State Registrations1 state
CO
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.