Jody James is a registered investment advisor at LPL Financial LLC, based in Freeport, ME, with 12 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
Freeport, ME
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Jody works as a tax preparer for H&R Block, dedicating about half their time. Jody also teaches financial literacy classes and is involved with several business entities for tax and investment purposes, spending a few hours per week on these activities.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
AXA Advisors, LLC
AXA Advisors, LLCBroker
Edward Jones
Edward JonesBroker
T3 Trading Group, LLCBroker
Ameriprise Financial Services, INC.Broker
Pruco Securities, LLC.Broker
State Registrations3 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.