James Arthur Sobania

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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 Enterprise, Llc

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

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2024-11-14

MN RA
APPROVED

Since 2024-11-14

Branch Locations

Cold Spring, MN • United States

600 Highway 169 Suite 1000, St Louis Park, MN 55426 • United States

2131 Troop Drive, Sartell, MN 56377 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Prudential Insurance Company Of America	Sartell	MN	04/2003	Present
Pruco Securities, Llc.	Sartell	MN	04/2003	11/2024
Lpl Enterprise, Llc	Sartell	MN	11/2024	Present

04/2003 → Present

Prudential Insurance Company Of America

Sartell, MN
04/2003 → 11/2024

Pruco Securities, Llc.

Sartell, MN
11/2024 → Present

Lpl Enterprise, Llc

Sartell, MN

Previous Registrations

2013-11-26 → 2024-11-14

Pruco Securities, Llc.

St. Cloud, MN

St. Louis Park, MN

St. Louis Park, MN

Sartell, MN

Sartell, MN

Other Businesses

1) 08/21/2024- AHS86 LLC- We bought a commercial building for rental opportunity- Business Entity for Tax/Investment Purposes Only- INV Related- Sartell, MN- Start Date 11/27/2019- 1hrs/mth- 0hrs during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-05-28

S66 Uniform Combined State Law Examination

2003-05-28

Designations

Chartered Financial Consultant

View on SEC IAPD