James Bruce
James Bruce is a registered investment advisor at LPL Financial LLC, based in Scottsdale, AZ, 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
11333 N Scottsdale Rd Ste 295, Scottsdale, AZ, 85254
Get directionsHistory
Regulatory History (4)
Judgment / Lien
July 2024Judgment / Lien
August 2022Customer Dispute
January 2001Customer Dispute
June 1998Other Business ActivitiesSells Insurance
James operates under the DBA Watermark Wealth Strategies LLC for his LPL business, dedicating about half his time to it. He also handles non-variable insurance trials and is a notary public, spending minimal time on the latter. James also provides CLDP services through Watermark Estate Planning, dedicating about 10-20% of his time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Kestra Advisory Services, LLC
Kestra Investment Services, LLCBroker
Sii Investments, INC.
Sii Investments, INC.Broker
Sagepoint Financial, INC.Broker
Householder Group, Estate & Retirement Specialists
Sunamerica Securities, INC.Broker
First Allied Securities, INC.Broker
Joseph Charles & Assoc., INC.Broker
Dickinson & CO.Broker
State Registrations16 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.