James Wallace
James Wallace is a registered investment advisor at Raymond James & Associates, INC., based in Lexington, KY, with 25 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 Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B 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 | 2.25% |
Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.
Fee Estimator
Location
489 East Main, Lexington, KY, 40507
Get directionsHistory
Regulatory History (2)
Customer Dispute
November 2008Customer Dispute
July 2008Employment History
Current Registrations
Raymond James & Associates, INC.Broker
Raymond James & Associates, INC.
PNC Wealth Management
PNC Wealth Management LLCBroker
Previous Registrations
Banc One Securities CorporationBroker
State Registrations17 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.
Exams
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