James Sullivan
James Sullivan is a registered investment advisor at LPL Financial LLC, based in Owensboro, KY, with 25 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
2703 Breckenridge Street, Ste A, Owensboro, KY, 42303
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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
James is involved with several business activities, including Financial Freedom Partners, Private Advisor Group, and Sullivan Financial Advisory Services LLC. He also dedicates minimal time to real estate rental through HHTG LLC and Rough Life, LLC, and a few hours per week to Ignite Baits LLC and Financial Freedom Partners.
Employment History
Current Registrations
LPL Financial LLCBroker
Private Advisor Group, LLC
Previous Registrations
Lincoln Financial Securities Corporation
Lincoln Financial Securities CorporationBroker
Transamerica Capital, INC.Broker
Intersecurities, INC.Broker
State Registrations15 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.