TrueAdvisor
TrueAdvisor
JC
ChFC
JC
ChFC

James Cole

LPL Financial LLC
30 Years of Experience
Adrian, MI
BrokerSells Insurance
View SEC Summary
View SEC Summary

James Cole is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Adrian, MI, with 30 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3245 N Adrian Hwy Ste F, Adrian, MI, 49221

Get directions

History

Regulatory History
Clean regulatory record

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
November 2018 - Present · 7 yrs 11 mos
LPL Financial LLC
November 2018 - Present · 7 yrs 11 mos
Previous Registrations
Spc
August 2010 - November 2018 · 8 yrs 3 mos
Sigma Financial CorporationBroker
January 1996 - November 2018 · 22 yrs 10 mos
State Registrations13 states
AZCACTFLGAILINLAMINJOHSCTX
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.
More Advisors
More financial advisors in Adrian, MI →All financial advisors in Michigan →