James Stein
James Stein is a CFP, ChFC-designated registered investment advisor at LPL Financial LLC, based in Port Charlotte, FL, with 28 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
Port Charlotte, FL
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Regulatory History (1)
Customer Dispute
May 2008Other Business ActivitiesSells Insurance
James operates under the DBA Jones Financial Group for his LPL business since 2017. He also sells non-variable insurance through James Stein and Edison Risk, dedicating minimal time to these insurance activities.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Waddell & Reed
Waddell & ReedBroker
Citizens Investment Services
Citizens Securities, INC.Broker
PNC InvestmentsBroker
PNC Investments
Uvest Financial Services Group, INC.
Uvest Financial Services Group, INC.Broker
M&t Securities, INC.Broker
Keystone Brokerage, LLCBroker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Bisys Brokerage Services, INC.Broker
1717 Capital Management CompanyBroker
Northwestern Mutual Investment Services, INC.Broker
State Registrations8 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.