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James Loughlin

Raymond James Financial Services Advisors, INC
32 Years of Experience
Melville, NY
2 DisclosuresBroker
View SEC Summary
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James Loughlin is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Melville, NY, with 32 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

445 Broad Hollow Road, Suite 25, Melville, NY, 11747

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2017
Settled
Customer Dispute
February 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James works as an independent contractor and financial advisor for Girard Wealth Management. This takes about half of his time.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
July 2021 - Present · 5 yrs 3 mos
Raymond James Financial Services, INC.Broker
May 2019 - Present · 7 yrs 5 mos
Previous Registrations
Securities America, INC.Broker
October 2008 - November 2010 · 2 yrs 1 mo
Ameriprise Financial Services, INC.Broker
August 2008 - May 2019 · 10 yrs 9 mos
Cantella & CO., INC.Broker
August 2008 - August 2008 · 0 mos
Raymond James Financial Services, INC.Broker
October 2002 - August 2008 · 5 yrs 10 mos
Prudential Securities IncorporatedBroker
September 1999 - August 2002 · 2 yrs 11 mos
Painewebber IncorporatedBroker
April 1996 - October 1999 · 3 yrs 6 mos
Prudential Securities IncorporatedBroker
August 1995 - May 1996 · 9 mos
Smith Barney INC.Broker
November 1994 - September 1995 · 10 mos
Kidder, Peabody & CO. IncorporatedBroker
March 1994 - December 1994 · 9 mos
State Registrations12 states
AZCACTFLGAMDMEMONCNJNYPA
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.
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