Clayton James
Clayton James is a registered investment advisor at Prospera Financial Services, INC., based in Williamsburg, VA, with 23 years of industry experience. Their practice areas include Estate Planning, Retirement Planning. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Prospera Financial Services offers investment management through various programs. The fees are based on a percentage of your portfolio's value and are negotiable, but the maximum annual fee is 2.15%. The specific fee and services are agreed upon in an advisory agreement. Fees are typically deducted from your account. Some programs may have additional fees, such as transaction costs or sub-account fees. Prospera also participates in revenue sharing with custodians and other third parties, which creates a conflict of interest.
Location
263 McLaws Circle, Suite 101B, Williamsburg, VA, 23185
Get directionsHistory
Regulatory History (1)
Customer Dispute
December 2012Other Business Activities
Clayton is a board member for both the Gloucester Community Foundation and the Rosewell Foundation, both located in Gloucester, VA. He spends minimal time on these activities, which are not investment-related, and receives no compensation.
Employment History
Current Registrations
Prospera Financial Services, INC.Broker
Prospera Financial Services, INC.
Previous Registrations
Micg Investment Management
Micg Investment Management, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch Pierce Fenner & Smith INC.
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
State Registrations14 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.