James Mooney
James Mooney is a registered investment advisor at LPL Financial LLC, based in W Cnshohocken, PA, with 25 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
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.