James Cole is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Adrian, MI, with 30 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
3245 N Adrian Hwy Ste F, Adrian, MI, 49221
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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 Summit Financial Group for his LPL business since 2018 and is also involved with Summit Property & Casualty Inc for tax/investment purposes. He is a non-profit board member of American Legion Post 97 and involved with non-variable insurance through Summit Financial Group.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Spc
Sigma Financial CorporationBroker
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.