James Jae Won Uh

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

• 03/2011 → 10/2017
  National Planning Corporation
  Bloomfield Hills, MI
• 10/2017 → 01/2024
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 10/2017 → 01/2024
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 01/2024 → Present
  Lpl Financial Llc
  Bloomfield Hills, MI

Previous Registrations

• 2017-10-05 → 2024-01-12
  Cambridge Investment Research Advisors, Inc.
  Bloomfield Hills, MI
• 2011-03-07 → 2017-10-10
  National Planning Corporation
  Bloomfield Hills, MI
• 2010-09-27 → 2011-02-28
  Freedom One Investment Advisors, Inc.
  Clarkston, MI

Other Businesses

1) 01/09/2024 - Core - Non-Variable Insurance - Inv. Related - BLOOMFIELD HILLS, Ml - Agent Selling Insurance- Start Date 11/01/2021 - 2hrs/month - 1% time spent 2) 01/09/2024 - WHITE GLOVE WORKSHOPS - Seminar- Inv. Related - Birmingham, Ml - Presenter - Start Date 1/1/2014- 2hrs/month - 1% time spent 3) 01/09/2024 - DYNAMIC HUMAN RESOURCES - HR and Payroll Services - Non-inv. Related - BLOOMFIELD HILLS, Ml - Referral - Start Date 10/01/2012- 1hr/month - 1% time spent 4) 01/09/2024 - INVESTWISE FINANCIAL LLC - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - Start date: 02/1/2021 -160hrs/month - 100% time spent 5) 01/09/2024 - FREEDOM BROKERAGE AGENCY - Non-Variable Insurance - Inv. Related - Grand Blanc, Ml - Agent Selling Insurance- Start Date 11/01/2014 - 1hr/month - 1% time spent 6) 07/16/2025 - JWU LLC - Business Entity For Tax/Investment Purposes Only - Inv Rel - Home Based - Start date: 07/15/2025 - 1hr/month

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-08-24
• S63 Uniform Securities Agent State Law Examination
  2004-07-21

Other Names

• Jae Won Uh