James Denton, financial advisor Mooresville NC

James Denton

CRD Number: 2003851
Current Firm: Lpl Financial LLC
Compensation Model: Both

Jim Denton is the founding and managing partner of DFS Advisors, LLC.  Jim began his financial planning career in 1989 as an account executive for a major insurance company and its affiliated securities firm.  He has been in private practice since 1992, and founded DFS Advisors in 1998.  He joined LPL Financial in March, 2019, and is a registered principal and registered representative with that firm.

     Prior to his financial planning career, Jim was a career military officer, having served 23 years with the U.S. Army in various command and staff capacities.  He is a graduate of the US Army Command and General Staff College.

     Jim earned an MA degree in Human Resources Management from Pepperdine University.  He also holds a BS in Business Management from the University of Tampa, with an emphasis in economics and accounting. 

    Jim’s professional education includes the Certified Financial Planner™ program of the College for Financial Planning, and the Chartered Life Underwriter and Chartered Financial Consultant programs offered by The American College.  He holds the professional designations awarded upon completion of each of these programs.  He is a participant in and in good standing with the Continuing Education programs of the American Society of CLU & ChFC, and the Certified Financial Planners’ Board of Standards.

     In conjunction with his tax practice, Jim is an Enrolled Agent, and is admitted to practice before the Internal Revenue Service.

       Jim and his wife, Sharon live in Mooresville, NC. 

 

James Denton (CRD# 2003851) is an Investment Advisor Representative working at Lpl Financial LLC in Mooresville, NC and has over 29 years of experience in the finance industry. James Denton has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination,pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which putclients' interests first and comply with the Financial Planning Practice Standards.

CONTACT
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Professional Designations
Company Name Location Dates Years
Lpl Financial LLC Mooresville, NC Mar 2019 - Current < 1
Dfs Advisors, LLC Mooresville, NC Dec 2014 - Current 5
Kestra Financial Services, Inc. Austin, TX Apr 2016 - Mar 2019 2
Nfp Securities Inc. Washington, NJ Oct 2003 - Apr 2016 12
Dfs Advisors Washington, NJ Oct 2003 - Dec 2014 11
Exam Code Name Passed Date
S7 General Securities Representative Examination (GS) Dec 1989
S63 Uniform Securities State Law Examination Jul 1990
S24 General Securities Principal Examination (GP) Jun 1995
Contact Info for James C. Denton
Phone Number: 9804440330
Registered State(s):
  • NJ
  • NC
  • FL
  • CT
  • CA
  • GA
  • MD
  • MA
  • MI
  • MO
  • OH
  • PA
  • SC
  • VA
By the Numbers
  • Total Assets Under Management
    159,099
    MILLIONS
  • Total Number of Accounts
    786,525
    ACCOUNTS
  • Average Account Value
    $202,281
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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Clean Record
This advisor has a clean track record with regulators.

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