James Wertz is a registered investment advisor at LPL Financial LLC, based in Fort Collins, CO, 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
1336 Oakridge Dr, Ste 100, Fort Collins, CO, 80525
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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.
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James works at Collindale Golf Club and Kahler Outdoors, dedicating a few hours per week to each. He also has business entities for tax/investment purposes and DBAs for his LPL business, spending full-time hours on the latter.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Independent Financial Group, LLCBroker
Independent Financial Group, LLC
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
AXA Advisors, LLCBroker
AXA Advisors, LLC
Evolve Investment Advisors
Evolve Securities, INC.
Evolve Securities, INC.Broker
Jolliffe Capital, INC.
Evolve Securities, INC.Broker
Qa3 Financial LLC
Qa3 Financial CORP.Broker
State Registrations13 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.