Lisa James
Lisa James is a registered investment advisor at Raymond James & Associates, INC., based in Denver, CO, with 28 years of industry experience. Lisa is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B 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 | 2.25% |
Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.
Fee Estimator
Location
4643 South Ulster Street, Suite 1350, Denver, CO, 80237
Get directionsHistory
Regulatory History (1)
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.
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Previous Registrations
Piper Jaffray & CO.
Piper Jaffray & CO.Broker
State Registrations1 state
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
More Advisors
- James MorenoRaymond James & Associates, INC.
- Brian Trujillo, CFPRaymond James & Associates, INC.
- Stephen StillwellRaymond James & Associates, INC.
- Mark LileyRaymond James & Associates, INC.
- Brent BurrowsRaymond James & Associates, INC.
- Austin Ringquist, CFPRaymond James & Associates, INC.