James Ponder
James Ponder is a registered investment advisor at LPL Financial LLC, based in Nacogdoches, TX, with 26 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
2601 South Street, Nacogdoches, TX, 75961
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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 offers fixed annuities through Fidelity & Guaranty and Oceanview Life and Annuity. He also operates Cadence Investment Services as a DBA for his LPL business and has a financial duty with Cadence Bank, dedicating minimal time to the latter.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Infinex Investments, INC.Broker
Infinex Investments, INC.
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Morgan Keegan & Company, INC.
Morgan Keegan & Company, INC.Broker
Hibernia Investments, L.L.C.Broker
Hartford Equity Sales Company INC.Broker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
New England SecuritiesBroker
State Registrations13 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.