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JS
CFP · ChFC
JS
CFP · ChFC

James Stein

LPL Financial LLC
29 Years of Experience
Port Charlotte, FL
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

James Stein is a CFP, ChFC-designated registered investment advisor at LPL Financial LLC, based in Port Charlotte, FL, with 29 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 Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

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

Location

Port Charlotte, FL

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History

Regulatory History (1)
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
May 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other 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
July 2021 - Present · 5 yrs 3 mos
LPL Financial LLC
July 2021 - Present · 5 yrs 3 mos
LPL Financial LLCBroker
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Waddell & Reed
November 2020 - July 2021 · 8 mos
Waddell & ReedBroker
November 2020 - July 2021 · 8 mos
Citizens Investment Services
December 2013 - November 2020 · 6 yrs 11 mos
Citizens Securities, INC.Broker
December 2013 - November 2020 · 6 yrs 11 mos
PNC InvestmentsBroker
January 2008 - December 2013 · 5 yrs 11 mos
PNC Investments
January 2008 - December 2013 · 5 yrs 11 mos
Uvest Financial Services Group, INC.
February 2006 - January 2008 · 1 yr 11 mos
Uvest Financial Services Group, INC.Broker
November 2004 - January 2008 · 3 yrs 2 mos
M&t Securities, INC.Broker
October 2000 - June 2004 · 3 yrs 8 mos
Keystone Brokerage, LLCBroker
January 2000 - October 2000 · 9 mos
Metlife Securities INC.Broker
October 1999 - January 2000 · 3 mos
Metropolitan Life Insurance CompanyBroker
October 1999 - January 2000 · 3 mos
Bisys Brokerage Services, INC.Broker
January 1999 - October 1999 · 9 mos
1717 Capital Management CompanyBroker
August 1998 - January 1999 · 5 mos
Northwestern Mutual Investment Services, INC.Broker
October 1994 - April 1996 · 1 yr 6 mos
State Registrations8 states
FLMDNCNHOHPASCVA
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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