James Miley
James Miley is a registered investment advisor at LPL Financial LLC, based in Minneapolis, MN, 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
901 S. Marquette Avenue, Suite 2820, Minneapolis, MN, 55402
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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 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.
Exams
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