James Weber Wachendorf

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

• 10/2014 → 10/2019
  Nations Financial Group, Inc.
  Iowa City, IA
• 10/2014 → 10/2019
  Midamerica Securities
  Iowa City, IA
• 10/2019 → 09/2020
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 10/2019 → 09/2020
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 09/2020 → Present
  Lpl Financial Llc
  Iowa City, IA
• 10/2019 → Present
  Greenstate Credit Union
  Iowa City, IA

Previous Registrations

• 2019-10-28 → 2020-10-15
  Cambridge Investment Research Advisors, Inc.
  Iowa City, IA
  Iowa City, IA
• 2014-10-10 → 2019-10-28
  Nations Financial Group, Inc.
  Iowa City, IA
• 2014-03-26 → 2014-10-13
  Mml Investors Services, Llc
  Iowa City, IA
  Iowa City, IA
  Coralville, IA

Other Businesses

1)9/30/2020- GreenState Wealth Management- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)-100% 2)9/30/2020- Mass Mutual -Non-Variable Insurance - Trails Only- Inv. Related- Iowa City, IA- start date 6/1/2009- 1hr/mth 3)9/30/2020- James Wachendorf- Real Estate Rental- owner/landlord- Inv. Related- Liberty, IA- start date 4/1/2018- 2hrs/mth 4)02/14/2024 - No Business Name - Non-Inv Related - Liberty, IA - Other - Loan - Started: 5/1/2024 - 1 Hr/Mo; 0 Hr During Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-11-07
• S63 Uniform Securities Agent State Law Examination
  2012-03-20