James Baker is a registered investment advisor at LPL Financial LLC, based in Austin, TX, with 23 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
5920 W William Cannon Drive, Building 7 Suite 201, Austin, TX, 78749
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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 operates under the DBA "The Fox Alliance" for his LPL business and is involved with James Baker non-variable insurance. He also serves as a non-profit board member for Wilbarger Creek Municipal Utility District, dedicating minimal time, and provides professional life/executive coaching for a few hours per week.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cetera Investment Advisers LLC
First Allied Securities, INC.Broker
First Allied Advisory Services, INC.
New England Securities Corporation
New England SecuritiesBroker
Jefferson Pilot Securities CORP
Jefferson Pilot Securities CorporationBroker
New England SecuritiesBroker
State Registrations4 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.