James Liaw is a registered investment advisor at LPL Financial LLC, based in Rockville, MD, 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
17 W Jefferson St Ste 4, Suite 4, Rockville, MD, 20850
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2006Other Business Activities
James works for Marketforce Mystery Shop, dedicating a few hours per week to this outside employment. He also operates Woodchurch Wealth Management as a DBA for his LPL business.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Grove Point Advisors, LLC
Grove Point Investments, LLCBroker
H. Beck, INC.
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ameriprise Advisor Services, INC.
Ameriprise Advisor Services, INC.Broker
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.