L James
L James is a CFP-designated registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Raleigh, NC, with 48 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
4242 Six Forks Rd, Raleigh, NC, 27609
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Regulatory History (2)
Customer Dispute
May 2020Customer Dispute
May 1989Other Business Activities
L is involved in several outside business activities. He co-owns rental property, serves on the finance committee for Edenton Street United Methodist Church, and is involved with Thorne and Stuart James Farmland.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
State Registrations31 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.