James Norris
James Norris is a registered investment advisor at LPL Financial LLC, based in Glendale, AZ, with 19 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
20325 N 51st Ave Suite 174, Glendale, AZ, 85308
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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 is involved in several business activities, including tax planning/preparation, operating his LPL business under Argosy Financial, and serving as a notary. He also works as an agent selling fixed insurance, long-term care (LTC), and disability insurance, dedicating minimal time to this activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Centaurus Financial, INC.Broker
Centaurus Financial, INC.
LPL Financial LLC
LPL Financial LLCBroker
Ameriprise Financial Services, INC.Broker
LPL Financial LLCBroker
State Registrations31 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.