James
Lindsay

Summit Financial Group Inc

CRD#1002597
Investment Advisor
in Carlsbad, CA
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About this Advisor

James Lindsay is an advisor in Carlsbad, California. Currently a registered financial advisor with Summit Financial Group Inc, Lindsay has 14 years of professional experience as a registered investment advisor. Lindsay has Series 63 and Series 65 licenses, qualifying them as both a securities agent and an investment advisor representative. Lindsay is able to serve investors in California and Texas. Over the course of their career, they have held roles at Summit Brokerage Services and Linsco Private Ledger. Summit Financial Group Inc is headquartered in Carlsbad, California, and operates out of 260 additional brick-and-mortar locations across the country. As a company, Summit Financial Group Inc oversees $3 billion in assets throughout 14,864 client accounts and retains more than 374 people. The level of assets currently under the firm's management places it among the largest firms in the country. The firm manages 4,097 accounts on a discretionary basis, meaning the advisor makes investment decisions at their discretion. Currently 22% of the advisory firm's clients are high-net-worth individuals, meaning they have more than $1 million in investable assets. Summit Financial Group Inc can offer financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers and educational seminars. The firm's fees may include asset-based, hourly and fixed fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

14 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees

Disclosures

Yes

Office Location

2888 Loker Ave E Ste 317
Carlsbad, CA 92010

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Summit Financial Group Inc Brokerage Details

Total Assets Under Management

$2,889,596,331

CA Average: $1,855,561,029
Total Number of Employees

353

CA Average: 62
Total Number of Accounts

15,944

CA Average: 2,474
Average Account Size

$181,234

CA Average: $750,025

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops

James Lindsay Work History

James has 14 years of experience.

2012 - Present (7 years)

Summit Brokerage Services

2004 - 2012 (8 years)

Linsco Private Ledger

Disclosures

James Lindsay has disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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