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Marshall Ford James

LPl Financial LLC

Norco, CA

CRD 3088015

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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:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2012-06-20
CA RA APPROVED 2007-02-23
  • TX RA
    APPROVED
    Since 2012-06-20
  • CA RA
    APPROVED
    Since 2007-02-23

Branch Locations

Norco, CA • 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
Lpl Financial Llc Glendora CA 02/2007 Present
Previous Registrations
  • 2000-10-04 → 2007-05-24
    Osaic Wealth, Inc.
    La Verne, CA
    La Verne, CA
  • 1999-03-29 → 2007-02-28
    Pension Portfolios
    La Verne, CA
Other Businesses

1. 11/17/2006 - PROSPECTOR'S FEDERAL CREDIT UNION - NOT INV REL - Non-Profit Board Member - BOARD MEMBER

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-02-10
S63 Uniform Securities Agent State Law Examination 1998-08-07
  • S65 Uniform Investment Adviser Law Examination
    1999-02-10
  • S63 Uniform Securities Agent State Law Examination
    1998-08-07
Designations
  • Certified Financial Planner

View on SEC IAPD

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