James Allen Summers

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

• 01/2009 → 07/2019
  Sagepoint Financial, Inc.
  Phoenix, AZ
• 07/2019 → Present
  Lpl Financial Llc
  Dana Point, CA

Previous Registrations

• 2007-11-12 → 2019-07-30
  Osaic Services, Inc.
  La Mesa, CA
  Laguna Hills, CA
  San Clemente, CA
• 2001-07-31 → 2007-11-15
  A. G. Edwards & Sons, Inc.
  San Juan Capistrano, CA
  San Juan Capistrano, CA
  Laguna Beach, CA

Other Businesses

1. 7/23/2019 - J & S Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/20/2009 - 2-8 Hours Per Month/0 Hours During Securities Trading. 2. 8/26/2020 - J&S Insurance - Investment Related - At Reported Business Location(s) - Insurance Agency - 09/01/2008 - 5 Hours Per Month/0 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-02-12
• S63 Uniform Securities Agent State Law Examination
  2001-04-13

Other Names

• Jim Summers