James Wesley Brandt

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-04-07
AR	RA	APPROVED	2017-11-29

TX RA
APPROVED_RES

Since 2021-04-07
AR RA
APPROVED

Since 2017-11-29

Branch Locations

11 Prospect Ct, Cabot, AR 72023 • United States

2401 W Beebe Capps Expy, Searcy, AR 72143 • 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
Investment Centers Of America	Searcy	AR	09/2015	Present
Lpl Financial Llc	Searcy	AR	11/2017	Present

09/2015 → Present

Investment Centers Of America

Searcy, AR
11/2017 → Present

Lpl Financial Llc

Searcy, AR

Previous Registrations

2015-09-09 → 2017-11-29

Investment Centers Of America, Inc.

Searcy, AR

Searcy, AR

Searcy, AR

Appleton, WI

Cabot, AR
2009-08-28 → 2015-09-01

Swbc Investment Company

San Antonio, TX

Searcy, AR
2005-07-15 → 2009-08-27

Kestra Investment Services, Llc

Searcy, AR

Other Businesses

1. 01/10/2018 - First Community Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 01/01/2018 - 0 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-06-09
S63	Uniform Securities Agent State Law Examination	1996-07-17

S65 Uniform Investment Adviser Law Examination

2005-06-09
S63 Uniform Securities Agent State Law Examination

1996-07-17

View on SEC IAPD