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James Robert Piper

LPl Financial LLC

Tacoma, WA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2023-09-28
  • WA RA
    APPROVED
    Since 2023-09-28

Branch Locations

201 Saint Helens Ave, #15, Tacoma, WA 98402 • 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
OrganizationCityStateFromTo
Kms Financial Services, Inc. Seattle WA 01/2016 11/2020
Securities America, Inc. Tacoma WA 11/2020 09/2023
Securities America Advisors, Inc. Tacoma WA 11/2020 09/2023
Lpl Financial Tacoma WA 09/2023 Present
  • 01/2016 → 11/2020
    Kms Financial Services, Inc.
    Seattle, WA
  • 11/2020 → 09/2023
    Securities America, Inc.
    Tacoma, WA
  • 11/2020 → 09/2023
    Securities America Advisors, Inc.
    Tacoma, WA
  • 09/2023 → Present
    Lpl Financial
    Tacoma, WA
Previous Registrations
  • 2020-11-06 → 2023-10-04
    Securities America Advisors, Inc.
    Tacoma, WA
  • 2016-02-05 → 2020-11-06
    Kms Financial Services, Inc.
    Tacoma, WA
    Seattle, WA
    Seattle, WA
  • 2009-10-05 → 2016-02-26
    Ameriprise Financial Services, Llc
    Tacoma, WA
  • 2009-02-27 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Tacoma, WA
  • 1997-02-25 → 2009-02-19
    Citigroup Global Markets Inc.
    Tacoma, WA
    Tacoma, WA
Other Businesses

1- 09/2023 / Piper Financial Planning and Investments / DBA for LPL Business (entity for LPL business) / INVESTMENT RELATED / START DATE 1/30/2016

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-13
S63 Uniform Securities Agent State Law Examination 1996-12-05
  • S65 Uniform Investment Adviser Law Examination
    1996-12-13
  • S63 Uniform Securities Agent State Law Examination
    1996-12-05
Other Names
  • Jim Piper
  • James Robert Piper
  • James Robert Piper

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Tacoma, WA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Tacoma, WA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Tacoma, WA
THREADLINE WEALTH · TACOMA, WA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Tacoma, WA
AMERIPRISE FINANCIAL SERVICES, LLC · Tacoma, WA
VOYA FINANCIAL ADVISORS, INC. · TACOMA, WA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · TACOMA, WA

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