James Keys is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Brenham, TX, with 34 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
105 E Main Ste 104, Brenham, TX, 77833
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is involved in several outside business activities, including selling non-variable and fixed insurance products through Neal Financial Group LP, Remington Insurance Group, and Keys/Swenson & Associates, Inc, where he is the owner and president, dedicating about 10-20% of his time. He is also a partner in a family business, House Keys Inc, which purchases and renovates homes for resale, taking minimal time.
Employment History
Current Registrations
LPL Financial LLC
Neal Financial Group, L.P.
LPL Financial LLCBroker
Previous Registrations
Washington Square Securities, INC.Broker
Advantage Capital CorporationBroker
Carillon Investments, INC.Broker
Nylife Securities INC.Broker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.