James Nowak is a registered investment advisor at LPL Financial LLC, based in Raleigh, NC, 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
3909 Sunset Ridge Rd Ste 101, Raleigh, NC, 27607-6668
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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 sells non-variable insurance products, including LTC, fixed annuities, health, fixed life, and universal insurance, spending about 10-20% of his time on this. He also owns Kinsella Building, LLC, a construction business, and is co-founder of WillowTrust Accounting, LLC, a tax preparation and accounting firm.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Edward JonesBroker
Salomon Smith Barney INC.Broker
Pacific Continental Securities CorporationBroker
State Registrations9 states
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