James Duke
James Duke is a registered investment advisor at LPL Financial LLC, based in Cottonwood Heights, UT, with 32 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
6975 S Union Park Ave Ste 510, Cottonwood Heights, UT, 84047
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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 operates Highpointe Financial as a DBA for his LPL business, dedicating full-time hours during securities trading. He also works with Ellee Duke Music Publishing, LLC and Ellee Duke Music, LLC for tax and investment purposes, and is involved with Info1 Health Plans and JKD Professional Insurance Consulting, spending a few hours per week and about 10-20% of his time, respectively.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Mony Securities CorporationBroker
State Registrations10 states
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