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James Mccormick

LPL Financial LLC
28 Years of Experience
Shreveport, LA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

James Mccormick is a registered investment advisor at LPL Financial LLC, based in Shreveport, LA, with 28 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

900 Pierremont Rd Ste 103, Shreveport, LA, 71106

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
December 2018
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James sells non-variable insurance, dedicating a few hours per week to this activity. He also spends full-time working at McCormick Advisory Solutions LLC, which includes acting as a DBA for LPL business.

Employment History
Current Registrations
LPL Financial LLC
February 2018 - Present · 8 yrs 8 mos
LPL Financial LLCBroker
February 2018 - Present · 8 yrs 8 mos
Previous Registrations
Invest Financial Corporation
April 2009 - February 2018 · 8 yrs 10 mos
Invest Financial CorporationBroker
March 2009 - February 2018 · 8 yrs 11 mos
Morgan Keegan & Company, INC.
May 2006 - April 2009 · 2 yrs 11 mos
Morgan Keegan & Company, INC.Broker
May 2006 - April 2009 · 2 yrs 11 mos
Capital One Investments, LLCBroker
June 2001 - May 2006 · 4 yrs 11 mos
Nylife Securities INC.Broker
August 1998 - June 2001 · 2 yrs 10 mos
State Registrations7 states
AZDCFLGALATNTX
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.
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