James Thomas Albert

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

• 02/2015 → Present
  Lpl Financial Llc
  Virginia Beach, VA

Previous Registrations

• 2007-01-17 → 2015-02-18
  Mml Investors Services, Llc
  Virginia Beach, VA
  Virginia Beach, VA
  Virginia Beach, VA
  Virginia Beach, VA
• 2004-03-29 → 2005-07-28
  Micg Investment Management, Llc
  Newport News, VA

Other Businesses

1. 2/9/2015 - BAJA HEATING - Not Investment Related - 2433 Bernadette Court - Owner - Time Spent 5% - PART OWNER OF FAMILY HVAC COMPANY. 2. 8/31/2015: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/01/2015 - 20 Hours Per Month/5 Hours During Securities Trading. 3. 8/16/2019 - Sandbridge Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/31/2019 - 160 Hours Per Month During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-05-15
• S63 Uniform Securities Agent State Law Examination
  2000-11-20