James Mooney
James Mooney is a registered investment advisor at LPL Financial LLC, based in W Cnshohocken, PA, 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.
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
200 Barr Harbor Dr Ste 400, W Cnshohocken, PA, 19428
Get directionsHistory
Regulatory History (1)
Customer Dispute
December 2009Other Business ActivitiesSells Insurance
James owns rental property, dedicating minimal time to it. He also sells fixed annuities, life/health, and LTC insurance, spending about two-thirds of his time on this. James is also the owner of JHM Asset Management LLC and an agent for Simplicity, focusing on IMO Annuities/Fixed.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Cadaret, Grant & CO., INC.Broker
Cadaret Grant & CO INC
Santander Securities
Santander Securities LLCBroker
Voya Financial Advisors, INC.
Voya Financial Advisors, INC.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Morgan Stanley Dw INC.Broker
State Registrations9 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.