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James Thomas Calforda

LPl Financial LLC

Napa, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-01-21
CA RA APPROVED 2007-12-18
  • TX RA
    APPROVED_RES
    Since 2022-01-21
  • CA RA
    APPROVED
    Since 2007-12-18

Branch Locations

2160 Jefferson St Ste 230, Napa, CA 94559 • 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
OrganizationCityStateFromTo
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) Napa CA 12/2007 Present
  • 12/2007 → Present
    Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
    Napa, CA
Previous Registrations
  • 2001-05-15 → 2007-12-18
    Wells Fargo Investments, Llc
    Saint Helena, CA
    Napa, CA
    Napa, CA
    St. Helena, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-08-16
S63 Uniform Securities Agent State Law Examination 1990-10-11
  • S65 Uniform Investment Adviser Law Examination
    1997-08-16
  • S63 Uniform Securities Agent State Law Examination
    1990-10-11
Other Names
  • James Thomas Calf
  • Tom Calf
  • James T Calf
  • J. Thomas Calforda
  • Thomas Calforda
  • Tom Calforda

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NAPA, CA
MORGAN STANLEY · Napa, CA
HARRINGTON INVESTMENTS, INC. · NAPA, CA
LPL FINANCIAL LLC · NAPA, CA
HARRINGTON INVESTMENTS, INC. · NAPA, CA
WELLS FARGO CLEARING SERVICES, LLC · NAPA, CA
5T WEALTH, LLC · NAPA, CA
BENEFITS PLUS, LLC · NAPA, CA

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