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James Allen is a registered investment advisor at LPL Financial LLC, based in Naperville, IL, 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B
Fee Structure
Minimum Investment:$1K
Investment management only (planning not offered)
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.
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Location
Naperville, IL
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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
December 2005Denied
Employment History
Current Registrations
LPL Financial LLCBroker
August 2010 - Present · 15 yrs 11 mos
LPL Financial LLC
August 2010 - Present · 15 yrs 11 mos
Previous Registrations
Edward Jones
March 2007 - August 2010 · 3 yrs 5 mos
Edward JonesBroker
December 2002 - August 2010 · 7 yrs 8 mos
Morgan Stanley
March 1998 - November 2002 · 4 yrs 8 mos
Morgan Stanley Dw INC.Broker
March 1995 - November 2002 · 7 yrs 8 mos
Chatfield Dean & CO., INC.Broker
February 1995 - April 1995 · 2 mos
State Registrations12 states
CODCFLIAILINKSKYMINYSCTN
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.