James Paul Connor

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-08-16
OH	RA	APPROVED	2018-02-14

TX RA
APPROVED

Since 2019-08-16
OH RA
APPROVED

Since 2018-02-14

Branch Locations

7100 Dixie Hwy Ste 122, Fairfield, OH 45014 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Invest Financial Corp.	Tampa	FL	11/2012	02/2018
Lpl Financial Llc	Fairfield	OH	02/2018	Present

11/2012 → 02/2018

Invest Financial Corp.

Tampa, FL
02/2018 → Present

Lpl Financial Llc

Fairfield, OH

Previous Registrations

2013-06-11 → 2018-02-14

Invest Financial Corporation

Fairfield, OH

Appleton, WI

Other Businesses

1. Tri-County Assurance Agency, Inc; investment related; president of general insurance agency; 7100 Dixie Hwy. Ste. 122 Faifield, OH 45014; 12-16 hour per month, 0 during trading. 2. 10/14/2019 - SCOAPE Financial Group - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:11/01/2019 - 5 hrs/mo - 0 hrs during trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-12-08
S63	Uniform Securities Agent State Law Examination	1993-02-10

S65 Uniform Investment Adviser Law Examination

2017-12-08
S63 Uniform Securities Agent State Law Examination

1993-02-10

Other Names

Jp Connor

View on SEC IAPD