Guy James is a registered investment advisor at LPL Financial LLC, based in Yoakum, TX, 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
406 W Grand Ave., Yoakum, TX, 77995
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Guy is the owner of Crossroads Financial Services, LLC, a DBA for his LPL business, and co-owner/operator of Six J Cattle Company, LLC, a farm, dedicating about 10-20% of his time to the latter. He also works with ICAG Insurance Agency and SBG/Synchronize selling non-variable insurance, dedicating minimal time to each.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Ica Group Wealth Management, LLC
LPL Financial LLC
Investment Centers of America, INC.
Investment Centers of America, INC.Broker
Investment Professionals, INC.
Investment Professionals, INC.
Investment Professionals, INC.Broker
Pruco Securities CorporationBroker
State Registrations11 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.