James Carter
James Carter is a registered investment advisor at LPL Financial LLC, based in Culver City, CA, 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
10000 Washington Blvd Ste 600, Culver City, CA, 90232
Get directionsHistory
Regulatory History (1)
Criminal
January 1983Other 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
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
UBS Financial Services INC.
UBS Financial Services INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch Pierce Fenner & Smith INC.
State Registrations18 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.