Catherine James
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 2026 to now
- United Community BankJul 2026 to now
- Morgan StanleyJul 2019 to Jul 2026
- Morgan Stanley Private Bank, N.AJul 2019 to Jul 2026
- University of ConnecticutSep 2018 to May 2019
- Divine Asset ManagementJun 2018 to Aug 2018
- Shires HousingJul 2017 to Aug 2017
- Knotty Pine MotelOct 2015 to Aug 2018
- University of ConnecticutSep 2015 to Jun 2017
Exams passed
- Series 66 · Uniform Combined State Law2019
State registrations
Registered as an investment adviser representative in 1 state (TN).
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
- 7112390
- Firm CRD
- 6413