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James Delaney

LPL Financial LLC
7 Years of Experience
Madison, WI
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

James Delaney is a registered investment advisor at LPL Financial LLC, based in Madison, WI, with 7 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2909 Landmark Pl Ste 110, Madison, WI, 53713

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
May 1992
Final Disposition
Criminal
January 1991
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James works as a representative for Shepherd Financial Advisors, providing financial advising, planning, and selling securities and insurance products, dedicating nearly full-time hours. He also sells various insurance products and holds positions in multiple real estate and restaurant-related entities, dedicating minimal time to these ventures.

Employment History
Current Registrations
LPL Financial LLCBroker
July 2025 - Present · 1 yr 3 mos
LPL Financial LLC
July 2025 - Present · 1 yr 3 mos
Previous Registrations
Next Financial Group, INC.
June 2023 - July 2025 · 2 yrs 1 mo
Next Financial Group, INC.Broker
June 2023 - July 2025 · 2 yrs 1 mo
Transamerica Financial Advisors, INC.
October 2021 - June 2023 · 1 yr 8 mos
Transamerica Financial Advisors, INCBroker
October 2021 - June 2023 · 1 yr 8 mos
On Investment Management CO
February 2019 - December 2019 · 10 mos
The O.N. Equity Sales CompanyBroker
February 2017 - December 2019 · 2 yrs 10 mos
State Registrations2 states
FLWI
AdvisorBrokerBoth

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
No exam information available for this advisor.
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