James Isamu King

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

Authority	Category	Status	Date
CA	RA	APPROVED	2012-02-21

CA RA
APPROVED

Since 2012-02-21

Branch Locations

Lakewood, 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

Organization	City	State	From	To
Lpl Financial Llc	Garden Grove	CA	02/2012	Present

02/2012 → Present

Lpl Financial Llc

Garden Grove, CA

Previous Registrations

2006-11-08 → 2012-02-21

U.S. Bancorp Advisors, Llc

Yorba Linda, CA

City Of Industry, CA

Brea, CA

Fullerton, CA

Fullerton, CA

Placentia, CA
2005-05-10 → 2006-11-08

Wells Fargo Investments, Llc

Newport Beach, CA

Newport Beach, CA

Seal Beach, CA

Santa Ana, CA

Garden Grove, CA

Santa Ana, CA

Other Businesses

1. 06/27/2019 - King Advisory Services, Inc - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:07/15/2019 - 160 hrs/mo - 120 hrs during trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-05-09
S63	Uniform Securities Agent State Law Examination	2003-02-21

S66 Uniform Combined State Law Examination

2005-05-09
S63 Uniform Securities Agent State Law Examination

2003-02-21

View on SEC IAPD