James Sims is a registered investment advisor at LPL Financial LLC, based in Duluth, GA, with 17 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
6705 Sugarloaf Pkwy, Duluth, GA, 30097
Get directionsHistory
Regulatory History (1)
Customer Dispute
January 2010Other Business Activities
James operates under the DBA Georgia United Retirement & Investment Services for his LPL business. This activity is investment-related and conducted at his reported business location.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Morgan Stanley
Morgan StanleyBroker
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
E*trade Securities LLCBroker
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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