Jody
James

Lpl Financial LLC

CRD#4544874
Investment Advisor
in Waltham, MA

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About this Advisor

Jody James is a financial advisor based out of Waltham, Massachusetts who has 4 years of relevant experience. James is an advisor for Lpl Financial LLC. Over the course of their career, they have held roles at Wts Proprietary Trading Group, LLC, James Graham Capital, The Bank Of Maine, Edward Jones, T3 Trading Group, LLC, Axa Advisors, LLC and Lpl Financial, LLC. James has a Series 66 license, qualifying them as both a securities agent and an investment advisor representative, and is registered to serve investors in Maine and Massachusetts. Lpl Financial LLC is a business operating out of Fort Mill, SC. The investment advisory business has offices in 9,898 locations and a total of 31,366 financial advisors. It controls $368 billion in total assets between its 1,688,501 customer accounts, placing it among the biggest financial advisory firms in the country by assets under management. The firm advises 3,425 charitable organizations. Of its 1,688,501 client accounts, 31% are held by high-net-worth individuals who have more than $1 million in investable assets. Lpl Financial LLC offers a wide assortment 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 advisory fee schedules largely vary depending on the type of financial services. However, fees billed by Lpl Financial LLC likely are comprised of any combination of asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 66

Years Registered*

4 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

Office Location

51 Sawyer Road, Ste 340
Waltham, MA 02453

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Lpl Financial LLC Brokerage Details

Total Assets Under Management

$368,018,536,946

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

31,366

MA Average: 13
Total Number of Accounts

1,688,501

MA Average: 661
Average Account Size

$217,956

MA Average: $977,396

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 been registered as a financial advisor for 4 years.*

2019 - Present (5 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

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Jody James to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Lpl Financial LLC

Eric Matthews
Fort Mill, SC
Gregory Horn
Lawrenceburg, IN
Daniel Gielow
Festus, MO
Bridget Platania
Arlington Heights, IL
Eric Shore
Danville, IL
Aaron Belgard
Guntersville, AL
Jon Mcknight
Dyersburg, TN
Karen Soule
Boston, MA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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