Joseph James is a CFP-designated registered investment advisor at LPL Financial LLC, based in Denton, TX, with 29 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B 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 | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
Denton, TX
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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 Activities
Joseph operates under two DBAs for his LPL business: Greater Texas Financial Solutions and Aggieland Financial Solutions. He also serves as Vice President Investment Services Program Manager at Greater Texas | Aggieland Credit Union, dedicating nearly full-time hours, and owns rental real estate managed by JAMES PROPERTY MANAGEMENT, requiring minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
USAA Financial Advisors, INC.Broker
USAA Financial Planning Services
Money Managers INC
Next Financial Group, INC.
Next Financial Group, INC.Broker
Money Managers INC
Mutual Service CorporationBroker
Primevest Financial Services, INC.
Primevest Financial Services, INC.Broker
Security Service Cuso, L.L.C.
Fiserv Investor Services, INC.Broker
Financial Network Investment CorporationBroker
Bank United Securities CORP.Broker
American Funds Distributors, INC.Broker
State Registrations9 states
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
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