James Mertens
James Mertens is a CFA-designated registered investment advisor at Founders Financial Alliance, LLC, based in Cary, NC, with 25 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 3,918 clients with $1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fees are negotiable up to 2%.
Fee Estimator
Location
1150 NW Maynard Rd STE 110, Cary, NC, 27513
Get directionsHistory
Regulatory History (1)
Criminal
January 1997Other Business ActivitiesSells Insurance
James operates under several DBAs for his LPL business and provides investment advisory services through Independent Advisor Alliance and Founders Financial Alliance, spending about half his time on these activities. He also directs non-variable insurance business through Highland Capital Brokerage, dedicating minimal time to this.
Employment History
Current Registrations
Founders Financial Alliance, LLC
LPL Financial LLCBroker
Previous Registrations
Independent Advisor Alliance, LLC
LPL Financial LLC
Robert W. Baird & CO. IncorporatedBroker
Investors Brokerage Services, INC.Broker
Fortis Investors, INC.Broker
State Registrations8 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.