James Thompson
James Thompson is a registered investment advisor at LPL Financial LLC, based in Seattle, WA, with 30 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
Seattle, WA
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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 is involved with Thompson Financial Group, selling non-variable insurance, dedicating about 10-20% of his time. He also uses Thompson Financial Group as a DBA for his LPL business, spending nearly full-time hours on this.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Grove Point Investments, LLCBroker
Grove Point Advisors, LLC
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
Principal Securities, INC.
Principal Securities, INC.Broker
American Independent Securities Group, LLC
American Independent Securities Group, LLCBroker
The O.N. Equity Sales CompanyBroker
The O.N. Equity Sales CompanyBroker
Park Avenue Securities LLCBroker
Guardian Investor Services CorporationBroker
Robert W. Baird & CO. IncorporatedBroker
Northwestern Mutual Investment Services, INC.Broker
State Registrations3 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.