James Wood
James Wood is a registered investment advisor at LPL Financial LLC, based in Oklahoma City, OK, 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
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.
Exams
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