James Garner is a CFP-designated registered investment advisor at LPL Financial LLC, based in Rockville, MD, 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
9210 Corporate Blvd #210, Rockville, MD, 20850
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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 operates as Key Wealth Managers, a DBA for his LPL business, dedicating full-time hours to this endeavor. He also co-owns rental real estate property, spending minimal time on it, and has a business entity for tax/investment purposes, also requiring minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Janney Montgomery Scott LLCBroker
Janney Montgomery Scott LLC
Financial Engines Advisors L.L.C.
Financial Engines Advisor Center, LLC
Tiaa-Cref Advice and Planning Services
Tiaa-Cref Individual & Institutional Services, LLCBroker
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
New England Securities Corporation
New England SecuritiesBroker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Tiaa-Cref Individual & Institutional Services, LLCBroker
Vanguard Marketing CorporationBroker
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.
Exams
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