James Michael Frawley

Current Employers

Employment History

• 04/2004 → Present
  Lpl Financial, Llc
  Westchester, CA
• 01/2015 → Present
  Westside Investment Management, Inc.
  Westchester, CA
• 04/2022 → Present
  Westside Investment Management, Llc
  Santa Monica, CA

Previous Registrations

• 1997-12-15 → 2004-04-29
  Ameriprise Financial Services, Llc
  Woodland Hills, CA

Other Businesses

1. 7/28/2004 - No Business Name - NON-VARIABLE INSURANCE - INV REL - At Reported Business Location(s) 2. 1/2/2015: Westside Investment Management, S Corp - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - WESTSIDE INVESTMENT MANAGEMENT, INC. - INVESTMENT RELATED - Start 01/01/15 - 2444 Wilshire Blvd Suite 303 Santa Monica CA 90403 - Fee based advice and investing - 120 HOURS PER MONTH/4 HOURS DURING TRADING - SANTA MONICA, CA. 3. 1/23/2015: Westside Investment Management, Inc. - REGISTERED INVESTMENT ADVISOR HYBRID - (Hybrid) Westside Investment Management, Inc. - INV REL - Start 01/01/2015 - 2444 Wilshire Blvd.. Suite 303, Santa Monica, CA 90403 - James Frawley is an investment advisor with Westside Investment Management, Inc. = S corp ( from an LLC) - we are an existing business with LPL - 0 Hr/Mo 4. 4/28/2017 - TAD HOLDINGS LLC - Investment Related - Tucson, AZ - Real Estate Rental - Start 05/30/17 - 1 Hour Per Month/0 Hours During Securities Trading. 5. 8/7/2018 - TAD II Holdings - Investment Related - Phoenix, AZ - Real Estate Rental - Start Date:09/25/2018 - 1 Hours Per Month/0 Hours During Trading. 6. 10/8/2018 - Tad Pro Inc. - Not Investment Related -At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date:10/01/2018 - 0 Hours Per Month/0 Hours During Trading. 7. 07/23/2019 - No business name - Investment related - At reported business location(s) - Non-Variable Insurance - start date:07/01/2019 - 1 hr/mo - 0 hrs during trading. 8. 08/31/2021 - TAD III Holdings LLC - Investment Related - Tucson, AZ - Real Estate Rental - Start Date: 09/30/2021 - 1 Hour Per Month/0 Hours During Securities Trading - TAD III Holdings LLC set up to buy a new apartment building. 9. 02/08/2022 - Westside Investment Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/07/2022 - 38 Hours Per Month/4 Hours During Securities Trading. 10. 03/03/2022 - Frawley Capital Management, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 02/01/2022 - 1 Hours Per Month/0 Hours During Securities Trading. 11. 3/23/2023 - TAD IV Holdings, LLC - Investment Related - Tucson AZ 85713 - Real Estate Rental - Start Date - 05/01/2023 - 1 Hours Per Month/0 Hours During Securities Trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1997-05-05

Designations

Other Names

• Jamie Frawley