Jody
James

Lpl Financial LLC

CRD#4544874
Investment Advisor
in Lewiston, ME

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About this Advisor

Jody James is a financial advisor who works in Lewiston, Maine, who has been in the industry for 10 years. James is an employee of Lpl Financial LLC. The advisor has gained experience at The Bank Of Maine, Wts Proprietary Trading Group, LLC, James Graham Capital, Key Bank, Us Senate, Edward Jones, T3 Trading Group, LLC, Axa Advisors, LLC and Lpl Financial LLC. James holds a Series 66 license, qualifying them as both a securities agent and an investment advisor representative, and can serve investors in Maine. Lpl Financial LLC is a registered investment company based out of Lewiston, Maine. The investment advisory business has offices in 9,519 locations and a total of 23,035 employees. It controls $208 billion in assets under management across its 892,326 accounts, making it one of the largest financial advisory firms in the United States by assets under management. The firm provides financial advice to 1,956 charitable organizations. Of its 892,326 client accounts, 28% belong to high-net-worth investors who have at least $1 million in assets. The firm has a diverse range of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars and other services. Financial management fees typically vary depending on which service is provided. Fees charged by Lpl Financial LLC most likely include asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 66

Years of Experience

10 years

Services Offered

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

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Disclosures

No

Office Location

1071 Lisbon St
Lewiston, ME 04240-5768

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Lpl Financial LLC Brokerage Details

Total Assets Under Management

$207,793,164,246

ME Average: $646,059,043
Total Number of Employees

23,035

ME Average: 13
Total Number of Accounts

892,326

ME Average: 661
Average Account Size

$232,867

ME Average: $977,396

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Investment Advisory Services

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

Jody James Work History

Jody has 10 years of experience.

2019 - Present (2 years)

Lpl Financial LLC

2018 - 2019 (1 year)

Axa Advisors, LLC

2015 - 2018 (3 years)

Edward Jones

2014 - 2015 (1 year)

Wts Proprietary Trading Group, LLC

2014 - 2014 (< 1 year)

James Graham Capital

2014 - 2015 (1 year)

T3 Trading Group, LLC

2013 - 2013 (< 1 year)

The Bank Of Maine

2012 - 2012 (< 1 year)

Key Bank

2011 - 2011 (< 1 year)

Us Senate

Disclosures

Jody James has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Lpl Financial LLC

Eric Matthews
Fort Mill, SC
James Dannel
Knoxville, TN
John Fitch
Charlotte, NC
Robert Wilson
Providence Forge, VA
Matthew Schultz
Fargo, ND
Brett Hudson
Sedalia, MO
Brian Fahrner
Des Plaines, IL
Andrew Fraser
Austin, TX

This content was compiled from the SEC and FINRA.

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