Roy James
Roy James is a registered investment advisor at LPL Enterprise, LLC, based in St. Petersburg, FL, with 11 years of industry experience. Roy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
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Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
2100 5th Ave. N, St. Petersburg, FL, 33713
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Regulatory History (1)
Customer Dispute
November 2024Other Business ActivitiesSells Insurance
Roy is involved in several business activities, including real estate ventures through Vision Investors LLC, JC Ventures Real Estate LLC, and Blu Ventures Real Estate LLC. His wife operates a property and casualty agency and a Medicare book through Blu Ventures LLC, and he co-hosts a sports debate podcast through 101sMedia LLC.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.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.