JL
JL

James Douglas Lathrop

39 Years of Experience
Broker
Areas of Practice
Investment ManagementRetirement Planning
Compensation
Fee-Only (AUM)
Firm Size
10 advisors
Number of Clients
285 clients
Average Client Portfolio
$12.4M average
Assets Under Management
$3.5B

Fee Structure

Minimum Investment:None
Loading...

Location

Chesterfield, MO

Get directions

History

Regulatory History
Clean regulatory record

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 Activities

James works as a wholesaler for Dearborn Partners, LLC, educating and advising financial advisors on their investment products since 2018. This activity takes nearly full-time.

Employment History
Current Registrations
Dearborn Partners L.L.C.
March 2020 - Present · 5 yrs 11 mos
Quasar Distributors, LLC
March 2019 - Present · 6 yrs 11 mos
Quasar Distributors, LLCBroker
March 2019 - Present · 6 yrs 11 mos
Previous Registrations
Russell Investments
November 2007 - October 2018 · 10 yrs 11 mos
Russell Investments Financial Services, LLCBroker
April 2005 - October 2018 · 13 yrs 6 mos
Alliancebernstein Investment Research and Management, INC.Broker
April 2004 - April 2005 · 1 yr
Putnam Retail Management Limited PartnershipBroker
October 1994 - March 2004 · 9 yrs 5 mos
Van Kampen Merritt INC.Broker
June 1986 - October 1994 · 8 yrs 4 mos
First Investors CorporationBroker
November 1985 - December 1985 · 1 mo
State Registrations13 states
ARFLILKSLAMNMONDNENMOKSDTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
James Douglas Lathrop - Financial Advisor | TrueAdvisor