James William Spooner

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2013 → 12/2018
  Ameriprise Financial Services, Inc.
  Duluth, GA
• 12/2018 → Present
  Lpl Financial Llc
  Monroe, GA

Previous Registrations

• 2013-09-05 → 2018-12-18
  Ameriprise Financial Services, Llc
  Duluth, GA
• 2009-06-17 → 2013-09-04
  Edward Jones
  Loganville, GA
  Grayson, GA
  Monroe, GA
  Lawrenceville, GA
• 2007-05-23 → 2008-12-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Athens, GA

Other Businesses

1)12/17/18- The Spooner Financial Group, LLC- DBA for LPL Business (entity for LPL business)-Inv. Related - Monroe, GA - 100%

Exams

• S66 Uniform Combined State Law Examination
  2007-05-21
• S63 Uniform Securities Agent State Law Examination
  2002-01-14