James Smith is a registered investment advisor at LPL Financial LLC, based in Dry Ridge, KY, with 23 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
1116 Fashion Ridge Rd, Dry Ridge, KY, 41035
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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 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.