JL
JL

James Mark Lavan

24 Years of Experience
Broker
Areas of Practice
Investment ManagementSocially Responsible Investing
Compensation
Fee-Only (AUM)
Firm Size
45 advisors
Number of Clients
122,375 clients
Average Client Portfolio
$1.5M average
Assets Under Management
$180.8B

Fee Structure

Minimum Investment:$5M
Financial Planning:Investment management only
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Location

One Madison Avenue, 18th Floor, New York, NY, 10010

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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.

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Other Business Activities

James is on the board of directors for NICSA, a non-profit trade association, since October 2018, dedicating minimal time. He is also a board member for Expect Miracles Foundation since March 2025, dedicating minimal time.

Employment History
Current Registrations
Franklin Distributors, LLC
November 2012 - Present · 13 yrs 3 mos
Franklin Distributors, LLCBroker
November 2012 - Present · 13 yrs 3 mos
Clearbridge Investments, LLC
November 2012 - Present · 13 yrs 3 mos
Previous Registrations
Putnam Retail Management Limited PartnershipBroker
January 2024 - July 2024 · 6 mos
Franklin Templeton Financial Services CORP.Broker
August 2020 - July 2021 · 11 mos
Franklin/templeton Distributors, INC.Broker
August 2020 - July 2021 · 11 mos
Managed Account Advisors LLC
July 2007 - November 2012 · 5 yrs 4 mos
Merrill Lynch Pierce Fenner & Smith INC.
May 2007 - July 2007 · 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2007 - July 2007 · 2 mos
Lord, Abbett & CO. LLC
March 2004 - April 2007 · 3 yrs 1 mo
Lord Abbett Distributor LLCBroker
March 2002 - April 2007 · 5 yrs 1 mo
TD Waterhouse Investor Services, INC.Broker
May 2001 - February 2002 · 9 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
James Mark Lavan - Financial Advisor | TrueAdvisor