James King
James King is a registered investment advisor at Commonwealth Financial Network, based in Greensboro, NC, with 28 years of industry experience. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 399,450 clients with $210B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Commonwealth Financial Network offers investment management through various programs like PPS Custom, PPS Select, and PPS Direct. Fees are generally calculated as a percentage of your portfolio, including cash and money market positions. The exact fees vary depending on the specific program and the agreement between you and your advisor.
Commonwealth generally offers two types of fee schedules: blended and breakpoint. With a blended schedule, different portions of your portfolio are charged at different rates. With a breakpoint schedule, the fee rate declines as your portfolio value reaches certain levels. All fees are negotiable between the advisor and client.
Location
3705-C West Market St., Greensboro, NC, 27403
Get directionsHistory
Regulatory History (6)
Customer Dispute
May 2017Customer Dispute
May 2017Customer Dispute
January 2017Customer Dispute
August 2015Customer Dispute
October 2013Customer Dispute
August 2007Other Business ActivitiesSells Insurance
James is an agent for fixed insurance products and the president and 100% owner of Austin Financial Management, Inc. He also owns a condominium in North Myrtle Beach, SC, which is not investment-related.
Employment History
Current Registrations
Commonwealth Financial Network
Commonwealth Financial Network
Commonwealth Financial NetworkBroker
Previous Registrations
Ws Griffith Securities, INC.
Ws Griffith Securities, INC.Broker
W. S. Griffith & CO., INC.Broker
W. S. Griffith & CO., 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.