JM
JM
James Morin
27 Years of Experience
Englewood, FL
1 DisclosureBroker
James Morin is a registered investment advisor at Charles Schwab & CO., INC., based in Englewood, FL, with 27 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning.
Compensation
Fixed/Hourly
Firm Size
8109 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Planning is included in investment management
Minimum Annual Fee:$1,000
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Fee schedule effective October 1, 2024. Clients enrolled prior to this date may have grandfathered fee schedules. Fees may be negotiable for assets over $25 million.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Englewood, FL
Get directionsHistory
Regulatory History (1)
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Customer Dispute
July 2011Denied
Employment History
Current Registrations
Charles Schwab & CO., INC.
June 2020 - Present · 5 yrs 11 mos
Charles Schwab & CO., INC.Broker
May 2020 - Present · 6 yrs
Charles Schwab & CO., INC.
May 2020 - Present · 6 yrs
Previous Registrations
USAA Investment Management Company
June 2018 - May 2020 · 1 yr 11 mos
USAA Financial Advisors, INC.Broker
May 2018 - May 2020 · 2 yrs
Cetera Investment Advisers LLC
February 2016 - January 2018 · 1 yr 11 mos
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January 2016 - January 2018 · 2 yrs
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September 2015 - December 2015 · 3 mos
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October 2012 - November 2014 · 2 yrs 1 mo
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October 2012 - November 2014 · 2 yrs 1 mo
Chase Investment Services CORP.
September 2007 - October 2012 · 5 yrs 1 mo
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September 2007 - October 2012 · 5 yrs 1 mo
Key Investment Services LLCBroker
May 2006 - March 2007 · 10 mos
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May 2006 - March 2007 · 10 mos
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February 2004 - February 2006 · 2 yrs
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May 2002 - July 2002 · 2 mos
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May 1996 - May 2002 · 6 yrs
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.