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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2024-12-05
NY RA APPROVED 2024-12-05
IL RA APPROVED 2021-03-24
  • IN RA
    APPROVED
    Since 2024-12-05
  • NY RA
    APPROVED
    Since 2024-12-05
  • IL RA
    APPROVED
    Since 2021-03-24

Branch Locations

8400 West 159Th Street, Orland Park, IL 60462 • United States

151 W 42Nd St, New York, NY 10036 • United States

Tinley Park, IL • 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
Harris Investor Services, Inc Orland Park IL 04/2008 Present
Lpl Financial Llc Orland Park IL 03/2021 Present
  • 04/2008 → Present
    Harris Investor Services, Inc
    Orland Park, IL
  • 03/2021 → Present
    Orland Park, IL
Previous Registrations
  • 2008-04-21 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Orland Park, IL
    Summit, IL
    Frankfort, IL
    Crete, IL
    Joliet, IL
    Plainfield, IL
    Hammond, IN
    Carmel, IN
    Crown Point, IN
    Matteson, IL
    Bolingbrook, IL
    Evergreen Park, IL
    Lockport, IL
    Homer Glen, IL
    Kokomo, IN
    New Lenox, IL
    Plainfield, IN
    Portage, IN
    Joliet, IL
    New Lenox, IL
    Orland Park, IL
    Valparaiso, IN
    Orland Park, IL
    Midlothian, IL
    Oak Lawn, IL
    Flossmoor, IL
    Romeoville, IL
    Frankfort, IL
    Munster, IN
    Valparaiso, IN
    Carmel, IN
    Indianapolis, IN
    Hammond, IN
    Noblesville, IN
    Kokomo, IN
    Tipton, IN
    Chesterton, IN
    Martinsville, IN
    Romeoville, IL
    Sullivan, IN
    Merriville, IN
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Orland Park, IL
    Frankfort, IL
    Chicago, IL
    Chicago, IL
    Flossmoor, IL
    Frankfort, IL
    New Lenox, IL
    Valparaiso, IN
    Chicago, IL
    North Riverside, IL
    Calumet City, IL
    Chicago, IL
    Berwyn, IL
    New Lenox, IL
    Crete, IL
    Matteson, IL
    Munster, IN
    Hammond, IN
    Oak Lawn, IL
    Chicago, IL
    Orland Park, IL
    Valparaiso, IN
    Chicago, IL
    Chicago, IL
    Midlothian, IL
    Evergreen Park, IL
    Chicago, IL
    Chicago, IL
    Homer Glen, IL
    Orland Park, IL
    Crown Point, IN
    Chicago, IL
    Lincolnwood, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Frankfort, IL
    Chicago, IL
    Griffith, IN
    Merriville, IN
    St John, IN
    Chicago, IL
    Munster, IN
    Calumet City, IL
    Merriville, IN
    Minooka, IL
    Dyer, IN
    Glen Ellyn, IL
    Schaumburg, IL
    Hinsdale, IL
    Joliet, IL
    St Charles, IL
    Carol Stream, IL
    Naperville, IL
    Westchester, IL
    Naperville, IL
    Naperville, IL
    Plainfield, IL
    Plainfield, IL
    Lockport, IL
    Chicago, IL
    Lagrange, IL
    South Elgin, IL
    Batavia, IL
    Roselle, IL
    Darien, IL
    Villa Park, IL
    Joliet, IL
    Batavia, IL
    Oakbrook Terrace, IL
    Bloomingdale, IL
    Bartlett, IL
    Hoffman Estates, IL
    Hoffman Estates, IL
    Burr Ridge, IL
    Schaumburg, IL
    St Charles, IL
    Wood Dale, IL
    Wood Dale, IL
    Orland Park, IL
    Chicago, IL
    Calumet City, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Merriville, IN
    Valparaiso, IN
    Valparaiso, IN
    Crown Point, IN
    Homer Glen, IL
    Palos Heights, IL
  • 2005-06-14 → 2008-04-18
    Streamwood, IL
    Rolling Meadows, IL
    Lake Zurich, IL
    Winfield, IL
    Warrenville, IL
    Shorewood, IL
    Batavia, IL
    Aurora, IL
    Mooseheart, IL
    Oak Lawn, IL
    Oak Lawn, IL
  • 2004-09-27 → 2004-12-10
    Harrisdirect Llc
    Chicago, IL
  • 2000-12-11 → 2004-09-21
    Harrisdirect Llc
    Chicago, IL
Other Businesses

1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - ORLAND PARK, IL

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-12
S63 Uniform Securities Agent State Law Examination 1991-12-11
  • S65 Uniform Investment Adviser Law Examination
    1998-01-12
  • S63 Uniform Securities Agent State Law Examination
    1991-12-11
Designations
Other Names
  • Jim Kapala

View on SEC IAPD

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