Marshall JamesCRD Number: 3088015
Current Firm: Lpl Financial LLC
Marshall James (CRD# 3088015) is an Investment Advisor Representative working at Lpl Financial LLC in Norco, CA and has over 19 years of experience in the finance industry. Marshall James 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 put clients' interests first and comply with the Financial Planning Practice Standards.
Rs Crum Inc.
Eclectic Associates, Inc.
Rs Crum Inc.
|Lpl Financial LLC||Glendora, CA||Feb 2007 - Current||11|
|Pension Portfolio's||La Verne, CA||Aug 1998 - Feb 2007||8|
|Royal Alliance Associates, Inc.||La Verne, CA||Jul 1998 - Feb 2007||8|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1998|
|S65||NASAA Investment Advisors Law Examination||Feb 1999|
Total Assets Under Management112,086MILLIONS
Total Number of Accounts531,091ACCOUNTS
Average Account Value$211,049
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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