Jody Michael James

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

• 07/2015 → 07/2018
  Edward Jones
  St Louis, MO
• 10/2018 → 04/2019
  Axa Advisors, Llc
  New York, NY
• 07/2018 → 10/2018
  Unemployed
  Freeport, ME
• 05/2019 → Present
  Lpl Financial, Llc
  Waltham, MA

Previous Registrations

• 2018-10-25 → 2019-04-08
  Equitable Advisors, Llc
  Wellesley, MA
  Freeport, ME
• 2015-11-30 → 2018-07-11
  Edward Jones
  Freeport, ME
  St Louis, MO
  Freeport, ME
  Freeport, ME

Other Businesses

1. 2/14/2020 - H & R Block - Investment Related - 275 Bath Rd, Brunswick, ME 04011 - Tax Prep/Accounting/CPA - Tax Preparer - Started 01/25/2020 - 100 Hours Per Month/0 Hours During Securities Trading. 2. 11/9/2020 - James Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/20/2020 - 40 Hours Per Month During Securities Trading. 3. 3/16/2021 - RSU5 Community Programs - Not Investment Related - 18 West Street, Freeport, ME 04032 - Other-Teaching Financial Literacy Classes - Instructor - Start Date: 9/12/2020 - 5 Hours Per Month/0 Hours During Securities Trading. 4. 3/22/2023 - James Harvey and Assocaites LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date - 03/06/2023 - 40 Hours Per Month/40 Hours During Securities Trading 5. 03/06/2024 - Alternative Green Consulting LLC - Non-Inv Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started: 1/19/2024 - 40 Hrs/Mo During Trading. 6. 03/07/2024 - James Harvey and Associates LLC - Inv Related - Freeport, ME - Tax Prep/Accounting/CPA - Managing Director/CEO/Tax Preparer - Started: 1/19/2024 - 10 Hrs/Mo; 2 Hrs During Trading. 7. 12/31/2025 - Vito Courtney and Associates - Tax Prep/Accounting/CPA - Investment Related - CEO - Winthrop, ME - Start Date 12/31/2025 - 15 hours per month/ during trading 8. 12/31/2025 - United Midwest Savings Bank - Not investment Related - Start Date 12/31/2025

Exams

• S66 Uniform Combined State Law Examination
  2015-10-14

Other Names

• Jody M James
• Jody James
• Jody Michael James