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James Carter

LPL Financial LLC
26 Years of Experience
Culver City, CA
1 DisclosureBroker
View SEC Summary
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James Carter is a registered investment advisor at LPL Financial LLC, based in Culver City, CA, with 26 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

10000 Washington Blvd Ste 600, Culver City, CA, 90232

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
January 1983
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is associated with Carter Wealth Advisors LLC for tax/investment purposes, dedicating minimal time. He also operates under Oak Gate Wealth Advisors as a DBA for LPL business, committing full-time hours to this investment-related activity.

Employment History
Current Registrations
LPL Financial LLC
July 2024 - Present · 2 yrs 3 mos
LPL Financial LLCBroker
July 2024 - Present · 2 yrs 3 mos
LPL Financial LLC
July 2024 - Present · 2 yrs 3 mos
Previous Registrations
Ameriprise Financial Services, LLCBroker
October 2013 - July 2024 · 10 yrs 9 mos
Ameriprise Financial Services, LLC
October 2013 - July 2024 · 10 yrs 9 mos
UBS Financial Services INC.
July 2007 - November 2013 · 6 yrs 4 mos
UBS Financial Services INC.Broker
July 2007 - November 2013 · 6 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2000 - July 2007 · 6 yrs 9 mos
Merrill Lynch Pierce Fenner & Smith INC.
November 1999 - July 2007 · 7 yrs 8 mos
State Registrations19 states
AZCACOFLIDILINMDMTNCNJNVNYOKORSCTXUTWA
AdvisorBrokerBoth

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
No exam information available for this advisor.
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