James Ustby
James Ustby is a registered investment advisor at LPL Financial LLC, based in Durham, NC, with 3 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
3016 Shannon Rd, Durham, NC, 27707
Get directionsHistory
Regulatory History (1)
Financial
November 2025Other Business ActivitiesSells Insurance
James works as an insurance representative for Karma Financial Group, focusing on non-variable insurance, dedicating about a quarter of his time. He also operates Thorough Financial Group, LLC as a DBA for his LPL business, committing nearly full-time hours to this endeavor.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Ameriprise Financial Services, LLC.
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
State Registrations5 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.