James J Mccabe

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

• 06/2015 → 02/2018
  Oppenheimer & Co. Inc.
  San Francisco, CA
• 03/2018 → 01/2020
  Rbc Capital Markets, Llc.
  San Francisco, CA
• 03/2020 → 01/2024
  Alps Distributors, Inc
  Denver, CO
• 01/2020 → 01/2024
  Primecap Management
  Pasadena, CA
• 01/2024 → 10/2024
  Unemployed
  La Canada Flintridge, CA
• 10/2024 → Present
  Lpl Financial, Llc
  La Canada Flintridge, CA

Other Businesses

1) 10/2024 - Fair Harbor Financial Advisory / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s)

Exams

• S63 Uniform Securities Agent State Law Examination
  1998-01-09

Designations

• Certified Financial Planner

Other Names

• Jim Mccabe
• James John Mccabe