James Hartwell is a CFP-designated registered investment advisor at LPL Financial LLC, based in Kalamazoo, MI, with 20 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
4341 S. Westnedge Ave, Ste. 12, Kalamazoo, MI, 49008
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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James is the owner of Hartwell Enterprises (since 2019), which is a business entity for tax/investment purposes only. He also provides investment advisory services through Hartwell and Company as a Registered Investment Advisor, spending about half of his time on this activity, and is the President of Hartwell Financial LLC, spending about a quarter of his time on tax preparation/accounting/CPA services.
Employment History
Current Registrations
LPL Financial LLC
Hartwell & Company
LPL Financial LLCBroker
Previous Registrations
USA Financial Securities CorporationBroker
USA Financial Securities Corporation
Hochman & Baker Securities, INC.Broker
AXA Advisors, LLCBroker
The Equitable Life Assurance Society of the United StatesBroker
H.D. Vest Investment Securities, INC.Broker
State Registrations10 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.