James Harold Ross
Investment adviser representative at LPL Financial LLC
11 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
11 years in the industry.
- LPL Financial LLCJul 2024 to now
- Osaic Wealth, Inc.Sep 2023 to Jul 2024
- Sagepoint FinancialAug 2022 to Sep 2023
- Minnesota Life Insurance CoJan 2018 to Aug 2022
- Securian Advisors of New EnglandJan 2018 to Aug 2022
- Securian Financial Services IncJan 2018 to Aug 2022
- Hornor Townsend & Kent IncNov 2015 to Jan 2018
- Penn Mutual Life Insurance CoNov 2015 to Jan 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2010
- Series 65 · Uniform Investment Adviser Law2013
State registrations
Registered as an investment adviser representative in 1 state (MA).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5743416
- Firm CRD
- 6413