James Steen
James Steen is a registered investment advisor at LPL Financial LLC, based in Hattiesburg, MS, 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
307A West Pine St, Hattiesburg, MS, 39401-3829
Get directionsHistory
Regulatory History (1)
Customer Dispute
October 2002Other Business Activities
James is associated with Steen Investment Group, Inc. He also has a business entity called Wholesteen Farms for tax/investment purposes, dedicating minimal time to it, and owns rental real estate through Michael Cha Properties, also dedicating minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Edward JonesBroker
State Registrations21 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.