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James Ernest Atkins

LPl Financial LLC

Las Vegas, NV

CRD 2001027

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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

AuthorityCategoryStatusDate
TX RA APPROVED 2015-11-06
NV RA APPROVED 2004-02-27
  • TX RA
    APPROVED
    Since 2015-11-06
  • NV RA
    APPROVED
    Since 2004-02-27

Branch Locations

7465 W Lake Mead Blvd, Ste 100, Las Vegas, NV 89128 • 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 Las Vegas NV 02/2004 Present
Previous Registrations
  • 1994-11-04 → 2004-03-03
    Msi Financial Services, Inc.
    Scottsdale, AZ
Other Businesses

1. 03/04/2004 - ATKINS FINANCIAL SOLUTIONS - NON-VARIABLE INSURANCE DBA -Investment Related - At Reported Business Location(s)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-01-29
S63 Uniform Securities Agent State Law Examination 1990-01-12
  • S65 Uniform Investment Adviser Law Examination
    2004-01-29
  • S63 Uniform Securities Agent State Law Examination
    1990-01-12
Other Names
  • James Atkins

View on SEC IAPD

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