James Miley is a registered investment advisor at LPL Financial LLC, based in Minneapolis, MN, 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
901 Marquette Ave Ste 2820, Minneapolis, MN, 55402
Get directionsHistory
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 investment-related activities, including DBAs for LPL business, a registered investment advisor DBA, and The Hays Financial Group, LLC, where he provides investment advisory services, spending nearly full-time on it. He also dedicates minimal time to non-variable insurance and property and casualty activities, serves as a non-profit board member, and has a business entity for tax/investment purposes.
Employment History
Current Registrations
LPL Financial LLC
Hays Financial Group, LLC
LPL Financial LLCBroker
Previous Registrations
Global Retirement Partners LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Adp Broker-Dealer, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations23 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.