James Mullins is a registered investment advisor at Investments & Financial Planning, LLC, based in Lexington, KY, with 23 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 751 clients with $320M 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 | 1.00% |
Fees are negotiable depending on individual client circumstances.
Fee Estimator
Location
1795 Alysheba Way, Suite 7104, Lexington, KY, 40509
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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 Activities
James is the owner and manager of JEM Financial Planning, LLC, which is set up for tax and limited liability purposes. He dedicates minimal time to this activity.
Employment History
Current Registrations
Investments & Financial Planning, LLC
Previous Registrations
Securities America, INC.Broker
Securities Service Network, LLCBroker
Wfg Investments, INC.Broker
LPL Financial LLC
LPL Financial LLCBroker
Jefferson Pilot Securities CORP
Jefferson Pilot Securities CorporationBroker
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.