James Michael Mertens

Current Employers

Employment History

• 10/2006 → 04/2026
  Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
  Cary, NC
• 01/2016 → 03/2024
  Independent Advisor Alliance
  Cary, NC
• 03/2024 → 04/2026
  Founders Financial Alliance, Llc
  Cary, NC
• 04/2026 → Present
  Osaic Wealth, Inc.
  Cary, NC

Previous Registrations

• 2024-03-16 → 2026-04-22
  Founders Financial Alliance, Llc
  Cary, NC
• 2016-01-15 → 2024-03-15
  Independent Advisor Alliance, Llc
  Cary, NC
• 2006-10-18 → 2020-10-06
  Lpl Financial Llc
  Oconomowoc, WI
  Fort Mill, SC
  Oconomowoc, WI
  Cary, NC

Other Businesses

1. 10/18/2006 - DBA ONLY - JAMES INVESTMENT MANAGEMENT - DBA W/ LLC ENTITY - CARY, NC (2) 03/26/2007 - HIGHLAND CAPITAL BROKERAGE - NON-VARIABLE INSURANCE - DIRECTING INSURANCE BUSINESS THROUGH HIGHLAND CAPITAL BROKERAGE - AS A BGA - 1% OF TIME SPENT - CARY, NC (3) 11/14/2013 - DU LAC PROPERTY LLC - REAL ESTATE RENTAL - 1% OF TIME SPENT - CARY, NC 2. HIGHLAND CAPITAL BROKERAGE POSITION: Agent NATURE: Agent through BGA Highland Capital Brokerage INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/10/2011 ADDRESS: 1150 NW Maynard Rd Ste 110, Cary NC 27513, United States DESCRIPTION: Life insurance and annuities 3. JAMES INVESTMENT MANAGEMENT, LLC DBA DU LAC WEALTH SERVICES POSITION: Managing Member NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/18/2006 ADDRESS: 1150 NW Maynard Rd Ste 110, Cary NC 27513, United States DESCRIPTION: DBA for investment and advisory business. 4. DU LAC PROPERTY, LLC POSITION: Managing Partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 11/14/2013 ADDRESS: 1150 NW Maynard Rd Ste 110, Cary NC 27513, United States DESCRIPTION: Investment real estate including office space for Du Lac Wealth Services. 5. MOTHER TERESA CATHOLIC CHURCH POSITION: Finance Council Member NATURE: Not for profit INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 1125 Mother Teresa Dr, Cary NC 27519, United States DESCRIPTION: Provide opinions and guidance on matters of budgeting and operations within Mother Teresa Catholic Church community. 6. PRESTON FAIRWAYS HOA POSITION: Board Member NATURE: Home Owners Association for primary residence neighborhood INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 03/15/2024 ADDRESS: 4700 Homewood Court Ste 380, Raleigh NC 27609, United States DESCRIPTION: Deal with matters that come to the HOA board. 7. HIGH HOUSE OFFICE CENTER HOA POSITION: Board Member NATURE: Office condo owners association INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 1401 Sunday Drive Suite 116, Raleigh NC 27607, United States DESCRIPTION: Sit on board for office HOA that manages common areas of our office park. 8. RF GAMING SYSTEMS POSITION: consultant NATURE: C Corp start up INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2026 ADDRESS: 107 Valenta Ct, Cary NC 27513, United States DESCRIPTION: Entrepreneurial and business consulting encompassing IP strategy, product development prioritization, go to market strategy, white paper concepts, business structure and modeling financials.

Exams

• S66 Uniform Combined State Law Examination
  2002-09-16
• S63 Uniform Securities Agent State Law Examination
  1998-06-18

Designations

Other Names

• Jim Mertens
• James Mertens