James Sims is a registered investment advisor at LPL Financial LLC, based in Duluth, GA, with 17 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
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.