James Shaw
James Shaw is a registered investment advisor at LPL Financial LLC, based in Visalia, CA, with 31 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
317 W Oak Ave, Visalia, CA, 93291-4928
Get directionsHistory
Regulatory History (3)
Customer Dispute
May 2004Customer Dispute
May 2004Customer Dispute
March 2004Other Business ActivitiesSells Insurance
James is involved with Valley Business Investment Services, a non-variable insurance DBA and the wealth management division of Valley Business Bank through LPL's FIS division. This activity takes about 10% of his time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
State Registrations2 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.