James Baker is a registered investment advisor at LPL Financial LLC, based in Bristol, TN, with 26 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
100 5th St Ste 340, Bristol, TN, 37620-5919
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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James operates ABC Financial as a business entity for tax/investment purposes, dedicating about a quarter of his time. He also uses Baker Wealth Strategies as a DBA for his LPL business, also spending about a quarter of his time. Finally, James is writing a children's book, spending minimal time on this activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Edward Jones
Edward JonesBroker
A. G. Edwards & Sons, INC.Broker
State Registrations12 states
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