James Ray Westermeyer

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2021-11-12
TX	RA	APPROVED	2021-11-12

CA RA
APPROVED

Since 2021-11-12
TX RA
APPROVED

Since 2021-11-12

Branch Locations

Scottsdale, AZ • 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
Lincoln Financial Advisors Corporation	Walnut Creek	CA	09/1997	11/2021
Lpl Financial Llc	Scottsdale	IL	11/2021	Present

09/1997 → 11/2021

Lincoln Financial Advisors Corporation

Walnut Creek, CA
11/2021 → Present

Lpl Financial Llc

Scottsdale, IL

Previous Registrations

1998-03-25 → 2021-11-09

Osaic Fa, Inc.

San Ramon, CA

San Ramon, CA

San Ramon, CA

Walnut Creek, CA

Walnut Creek, CA

Scottsdale, AZ

Other Businesses

1) 11/02/2021 - Clearview Wealth Partners - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 11/2021 2) 11/08/2021 - James Westermeyer - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) 3) 11/08/2021 - James & Barbara Westermeyer - Real Estate Rental - Inv Rel - Scottsdale, AZ - Start: 11/2021 4) 11/08/2021 - WESTERMEYER FAMILY TRUST - Investment Related - Home Based - Act in a Fiduciary Capacity - Start Date: 01/2002 - Co-Trustee for a family trust. 5) 03/24/2022 - JRW Enterprise LLC - Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date - 03/01/2022 - 1 Hours Per Month/ 0 Hours During Securities Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1997-11-21

S63 Uniform Securities Agent State Law Examination

1997-11-21

Other Names

Jim Westermeyer

View on SEC IAPD