James Queen is a registered investment advisor at LPL Financial LLC, based in Shippenville, PA, with 27 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
21119 Paint Blvd, Shippenville, PA, 16254
Get directionsHistory
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 Activities
James operates under the DBA Berteotti Insurance & Financial Services, Inc. for his LPL business and Hewlett Financial Group. He also works for National Ski Patrol and E Doll, and the latter takes minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Ameriprise Financial Services, LLC.
Ameriprise Financial Services, INC.Broker
Transamerica Capital, INC.Broker
Tsc Distributors, LLCBroker
Eaton Vance Management
Eaton Vance Distributors, INC.Broker
Fidelity Investments Institutional Services Company, INC.Broker
State Registrations1 state
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.