James Wood
James Wood is a registered investment advisor at LPL Financial LLC, based in Oklahoma City, OK, with 27 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
4801 Gaillardia Pkwy Ste 375, Oklahoma City, OK, 73142
Get directionsHistory
Regulatory History (3)
Customer Dispute
July 2010Customer Dispute
April 2001Customer Dispute
March 2001Other Business Activities
James has a referral relationship with Arcadia Structured Settlements since September 2024. This investment-related activity takes a few hours per week.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Morgan Stanley & CO., IncorporatedBroker
Morgan Stanley & CO., Incorporated
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations52 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.