James Roland Waldal

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

Authority	Category	Status	Date
WA	RA	APPROVED	2016-03-15
TX	RA	APPROVED_RES	2005-10-13
CA	RA	APPROVED	2005-09-02

WA RA
APPROVED

Since 2016-03-15
TX RA
APPROVED_RES

Since 2005-10-13
CA RA
APPROVED

Since 2005-09-02

Branch Locations

Freeland, WA • 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
Lpl Financial Llc	Freeland	WA	09/2005	Present

09/2005 → Present

Lpl Financial Llc

Freeland, WA

Previous Registrations

2001-06-27 → 2005-09-08

Morgan Stanley Dw Inc.

Carlsbad, CA

Other Businesses

1. 10/19/2005 - REAL ESTATE RENTAL - WE OWN A SECOND PIECE OF PROPERTY IN WASHINGTON. IT IS FAMILY OWNED WITH MY BROTHER AND SISTER. WE OCCASIONALLY RENT THE PROPERTY TO COVER PROPERTY EXPENSES. - TIME SPENT 5% 2. 04/05/2016 * Waldal Wealth Management * DBA for LPL Business (entity for LPL business) * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 03/30/16 * 160 HRS/MO; 6 HRS/MO DURING SECS TRDG HRS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-06-14
S63	Uniform Securities Agent State Law Examination	2001-05-31

S65 Uniform Investment Adviser Law Examination

2001-06-14
S63 Uniform Securities Agent State Law Examination

2001-05-31

Other Names

James Roland Waldal

View on SEC IAPD