James Smith is a registered investment advisor at LPL Financial LLC, based in Dry Ridge, KY, with 24 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
1116 Fashion Ridge Rd, Dry Ridge, KY, 41035
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
December 2023Other Business Activities
James operates Evergreen Asset Management as a DBA for his LPL business, dedicating full-time hours to it. He also owns rental real estate and farms, spending minimal time and a few hours per week on those activities, respectively.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Edward Jones
Edward JonesBroker
PNC InvestmentsBroker
PNC Investments
Strategic Advisers, INC.
Fidelity Brokerage Services LLCBroker
State Registrations17 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.