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Baden Alexander James

LPL Enterprise, LLC

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About Baden Alexander James

Baden Alexander James is a financial advisor registered with LPL Enterprise, LLC. Baden has been in the industry since May 2017, and holds the Series 7, Series 66, and SIE exams. Baden is registered in Connecticut, District of Columbia, Maryland, New Jersey, New York, Virginia and Washington. Baden has previously been registered with Morgan Stanley, E*TRADE Securities LLC, and PURSHE KAPLAN STERLING INVESTMENTS.

Firm Information

Baden James is currently registered with LPL Enterprise, LLC. LPL Enterprise, LLC is a Limited Liability Company registered in South Carolina and formed on May 25, 2023. They offer financial planning, educational seminars, portfolio management for individuals and businesses, and other consulting and non-discretionary advisory services. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. They have a total of 55 registered representatives and 12 investment advisor representatives. The firm participates in wrap fee programs.
LPL Enterprise, LLC

1055 LPL WAY

FORT MILL, SC 29715

Not reported

Assets Under Management

Not reported

Total Clients

50

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Baden James’s Registration & Firm History

VA

11/14/2024 - Present

LPL Enterprise, LLC (VIENNA VA)

DC

07/14/2022 - 04/02/2024

MORGAN STANLEY (Washington DC)

DC

10/17/2019 - 09/05/2023

E*TRADE SECURITIES LLC (Washington DC)

VA

02/13/2017 - 11/15/2017

PURSHE KAPLAN STERLING INVESTMENTS (Tysons Corner VA)

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Licenses & Designations

BOTH

Issued 06/09/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/15/2017

SIE - Securities Industry Essentials Examination

BC

Issued 02/13/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Baden Alexander James.
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