James Smith is a registered investment advisor at LPL Financial LLC, based in Mount Laurel, NJ, with 12 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
305 Fellowship Rd., Ste 105, Mount Laurel, NJ, 08054
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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 operates Peak Wealth Partners and Gladstone Wealth Partners as DBAs for his LPL business, dedicating full-time hours to these activities. He also owns XL Holdings LLC, Val's Tavern (spending a few hours per week), and Round Lake Partners, all for tax/investment purposes.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations15 states
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