James Baker is a registered investment advisor at Fifth Third Securities, INC., based in Charlotte, NC, with 19 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 43,031 clients with $9.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $500K | 1.35% |
| $500K - $750K | 1.25% |
| $750K - $1.0M | 1.10% |
| $1.0M - $2.0M | 1.00% |
| $2M+ | 0.80% |
Fees are negotiable. In the Passageway One Program, if the client selects to receive the Tax Overlay Service, this optional service has an additional fee on top of the Passageway Program Standard Fee Schedule.
Fee Estimator
Location
201 N Tryon St, Charlotte, NC, 28202
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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 Activities
James is a co-owner of Three Eagle Ventures, LLC, an investment-related entity. He states that this will not interfere with his duties at the firm and involves no active duties.
Employment History
Current Registrations
Fifth Third Securities, INC.
Fifth Third Securities, INC.Broker
Previous Registrations
Scott & Stringfellow, LLC
Scott & Stringfellow, LLCBroker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations2 states
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