James Griffis is a registered investment advisor at LPL Financial LLC, based in Toledo, OH, with 47 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
5749 Park Center Ct., Toledo, OH, 43615
Get directionsHistory
Regulatory History (5)
Financial
June 2021Customer Dispute
July 2011Customer Dispute
May 2007Customer Dispute
October 2001Customer Dispute
April 1998Other Business Activities
James uses "Griffis and Associates Wealth Management" as a DBA for his LPL business since 2018. This activity is investment-related and conducted at his reported business location.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Lincoln Financial Advisors CorporationBroker
Lincoln Financial Advisors Corporation
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Mcdonald Investments INC.Broker
Fifth Third/the Ohio CompanyBroker
Hamilton Investments, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Tucker, Anthony & R. L. Day, INC.Broker
Painewebber IncorporatedBroker
Paine, Webber, Jackson & Curtis IncorporatedBroker
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.