James Thomas Rotter

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
MO	RA	APPROVED	2018-02-14
TX	RA	APPROVED_RES	2018-02-14

MO RA
APPROVED

Since 2018-02-14
TX RA
APPROVED_RES

Since 2018-02-14

Branch Locations

3 E Washington St, Millstadt, IL 62260 • United States

1700 Clarkson Rd, Chesterfield, MO 63017 • United States

2996 State Hwy K, O'FAllon, MO 63368 • United States

123 W 2Nd St, Holden, MO 64040 • United States

401 Fairgrounds Ave, Higginsville, MO 64037 • United States

416 N 2Nd Street, Odessa, MO 64078 • United States

401 North Maguire St., Warrensburg, MO 64093 • 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
Central Trust Bank	Chesterfield	MO	12/2014	Present
Invest Financial Corp	Tampa	FL	01/2015	02/2018
Lpl Financial Llc	Chesterfield	MO	02/2018	Present

12/2014 → Present

Central Trust Bank

Chesterfield, MO
01/2015 → 02/2018

Invest Financial Corp

Tampa, FL
02/2018 → Present

Lpl Financial Llc

Chesterfield, MO

Previous Registrations

2015-01-02 → 2018-02-20

Invest Financial Corporation

Chesterfield, MO

O'FAllon, MO

Appleton, WI
2013-10-31 → 2014-12-17

U.S. Bancorp Investments, Inc.

Lake Saint Louis, MO

Troy, MO
2006-05-04 → 2013-11-04

Commerce Brokerage Services, Inc.

Saint Charles, MO

Wentsville, MO

Clayton, MO

St. Louis, MO

St. Peters, MO

Other Businesses

1. 02/14/2018 - INVESTOR SERVICES INSURANCE - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 1/31/2015 - 5 Hours Per Month/5 During Securities Trading. 2. 02/14/2018 - Central Investment Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 03/21/2019 - Carole C. Rotter Rev. Lvg. Tr DTD 12/01/1994 - Investment related - At reported business location(s) - Act in a Fiduciary Capacity - start date:01/01/2018 - 5 hrs/mo - 0 hrs during trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-07-02
S63	Uniform Securities Agent State Law Examination	1990-10-24

S65 Uniform Investment Adviser Law Examination

2005-07-02
S63 Uniform Securities Agent State Law Examination

1990-10-24

View on SEC IAPD