James Finley is a registered investment advisor at LPL Financial LLC, based in San Diego, CA, 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
6310 Greenwich Dr #150, San Diego, CA, 92122
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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James has several business entities including Finley Capital Management (tax shelter), New Sentry Capital Management, LLC (liability purposes), Fielder Finley Wealth Management, and Newell Wealth Management (DBAs for LPL business). He also provides mortgage brokerage services through Home and Loan Finders, dedicating about 10% of his time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations17 states
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