James Ray
James Ray is a CFP-designated registered investment advisor at LPL Financial LLC, based in Lake Forest, IL, with 19 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 Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B 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 | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
Lake Forest, IL
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
James operates under the DBA IHT Wealth Management for his LPL business, dedicating full-time hours. He also provides investment advisory services through IHT Wealth Management and engages in non-variable insurance activities through Capitas Financial, spending about 10-20% of his time on each.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Iht Wealth Management LLC
BMO Harris Financial Advisors, INC.Broker
BMO Harris Financial Advisors, INC
Fifth Third Securities, INC.Broker
Fifth Third Securities, INC.
Investment Professionals, INC.Broker
Investment Professionals, INC.
Plante Moran Financial Advisors
Harrisdirect LLC
Harrisdirect LLCBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.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.
Exams
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