James Gillingham
James Gillingham is a registered investment advisor at LPL Financial LLC, based in Seattle, WA, with 24 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
319 1st Avenue S,, Seattle, WA, 98104
Get directionsHistory
Regulatory History (1)
Criminal
August 1987Other Business Activities
James works as a handyman and provides mortgage/real estate services. He also operates Transformational Advisory Group as a DBA for his LPL business.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
State Registrations5 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.