James Robert Quigley

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

• 11/2015 → 03/2017
  E*Trade Securities Llc
  Scarsdale, NY
• 11/2015 → 03/2017
  E*Trade Capital Management Llc
  Scarsdale, NY
• 09/2017 → 04/2018
  Capital One Investing, Llc
  Flushing, NY
• 09/2017 → 04/2018
  Capital One Advisors, Llc
  Flushing, NY
• 04/2017 → 08/2017
  Unemployed
  Flushing, NY
• 04/2018 → 11/2020
  Wells Fargo Clearing Services Llc
  Melville, NY
• 11/2020 → 01/2021
  Wells Fargo Clearing Services
  St Louis, MO
• 01/2021 → 03/2025
  Wells Fargo Clearing Services
  St Louis, MO
• 10/2025 → Present
  Lpl Financial Llc
  Melville, NY
• 03/2025 → 10/2025
  N/A
  Flushing, NY

Previous Registrations

• 2021-03-24 → 2025-03-14
  Wells Fargo Clearing Services, Llc
  St. Louis, MO
  New York, NY
• 2018-04-30 → 2020-12-08
  Wells Fargo Clearing Services, Llc
  Melville, NY
• 2017-09-13 → 2018-04-09
  Capital One Advisors, Llc
  Flushing, NY
  Mclean, VA
• 2015-11-23 → 2017-04-17
  Harrisdirect Llc
  Scarsdale, NY
  Arlington, VA
• 2006-03-21 → 2015-03-18
  Td Ameritrade, Inc.
  Manhasset, NY
• 2008-06-18 → 2015-03-18
  Td Ameritrade Investment Management, Llc
  Great Neck, NY

Exams

• S66 Uniform Combined State Law Examination
  2004-07-09

Other Names

• James Robert Quigley
• James Robert Quigley