JC
JC
James Cooper is a registered investment advisor at LPL Financial LLC, based in Eagle, CO, with 41 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B
Fee Structure
Minimum Investment:$1K
Investment management only (planning not offered)
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.
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Location
Eagle, CO
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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 2014Settled
Customer Dispute
November 2013Settled
Employment History
Current Registrations
LPL Financial LLCBroker
July 2021 - Present · 4 yrs 10 mos
LPL Financial LLC
July 2021 - Present · 4 yrs 10 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.