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James Cooper

LPL Financial LLC
41 Years of Experience
Eagle, CO
2 DisclosuresBroker
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James Cooper is a registered investment advisor at LPL Financial LLC, based in Eagle, CO, with 41 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
—
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Location

Eagle, CO

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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.
Customer Dispute
July 2014
Settled
Customer Dispute
November 2013
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLCBroker
July 2021 - Present · 5 yrs 3 mos
LPL Financial LLC
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
UBS Financial Services INC.Broker
October 2007 - August 2021 · 13 yrs 10 mos
UBS Financial Services INC.
October 2007 - August 2021 · 13 yrs 10 mos
Citigroup Global Markets INC.
September 1994 - October 2007 · 13 yrs 1 mo
Citigroup Global Markets INC.Broker
June 1994 - October 2007 · 13 yrs 4 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
February 1993 - July 1994 · 1 yr 5 mos
E. F. Hutton & Company INCBroker
November 1978 - January 1987 · 8 yrs 2 mos
State Registrations13 states
AZCACOCTDCMAMINJNMNYPARITX
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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