James Patrick Karthaus

Current Employers

Employment History

• 07/2016 → 08/2017
  The Leaders Group, Inc.
  Littleton, CO
• 08/2017 → 04/2023
  Lpl Financial Llc
  Doylestown, PA
• 09/2017 → 04/2023
  Great Valley Advisor Group, Inc.
  Doylestown, PA
• 05/2023 → Present
  Raymond James Financial Services, Inc.
  Conshohocken, PA
• 05/2023 → Present
  Raymond James Financial Services Advisors, Inc.
  Conshohocken, PA
• 09/2016 → 08/2017
  Tlg Advisors, Inc.
  Doylestown, PA
• 08/2018 → Present
  American College Of Financial Services
  Doylestown, PA

Previous Registrations

• 2017-09-06 → 2023-06-06
  Great Valley Advisor Group, Llc
  Doylestown, PA
• 2016-09-01 → 2017-08-31
  Tlg Advisors, Inc.
  Doylestown, PA
  Summit, NJ
• 2013-06-05 → 2016-04-20
  Tlg Advisors, Inc.
  Doylestown, PA
  Summit, NJ
• 2012-05-07 → 2012-12-05
  Voya Financial Advisors, Inc.
  Doylestown, PA
  Windsor, CT
• 2009-03-31 → 2010-10-26
  Tlg Advisors, Inc.
  Woodland Hills, CA
  Doylestown, PA
  Summit, NJ
• 2005-06-29 → 2009-02-13
  Woodbury Financial Services, Inc.
  King Of Prussia, PA
  Blue Bell, PA

Other Businesses

(1)Name of Business: Nautic Financial Group, LLC. Address: 44 Mystic View Lane, Doylestown, PA, 18901, United States Activity Type: Non-variable Insurance Position/Title: Broker, Owner Investment Related: Yes Start Date: 02/15/2012 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Insurance agency. Non variable insurance Fixed Life and Fixed Annuities (non-indexed)- Carriers + Lincoln, Nationwide, Protective, Banner. Really never sell a straight fixed annuities (haven't in 20 years). Not a fan, as I'd rather use a HYSA or MM w/out a surrender charge. I do an occasional FIA for the income riders and that goes through RJFS. (2)Name of Business: Nautic Financial Group, LLC. Address: 44 Mystic View Lane, Doylestown, PA, 18901, United States Activity Type: Business Owner Position/Title: Partner, Owner/Proprietor Investment Related: No Start Date: 02/15/2012 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: I use the name for my advisory and insurance business

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-01-29
• S63 Uniform Securities Agent State Law Examination
  1998-01-20

Designations