James E Casey

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

• 12/2012 → 10/2018
  Jhfn/Sii
  Rosemont, IL
• 10/2018 → 01/2020
  Securities America, Inc.
  Hamilton, MI
• 10/2018 → 01/2020
  Securities America Advisors
  Hamilton, MI
• 01/2020 → Present
  Lpl Financial Llc
  Hamilton, MI

Previous Registrations

• 2018-10-23 → 2020-01-23
  Securities America Advisors, Inc.
  Hamilton, MI
• 2013-01-09 → 2018-10-22
  Signator Investors, Inc.
  Willowbrook, IL
  Rosemont, IL
• 2010-02-19 → 2012-12-18
  Edward Jones
  Naperville, IL
  Naperville, IL
• 2008-10-01 → 2010-02-12
  J.P. Morgan Securities Llc
  Wheaton, IL
  Oakbrook Terrace, IL
• 2007-05-17 → 2008-10-01
  J.P. Morgan Securities Inc.
  Naperville, IL
  Wheaton, IL
  Wheaton, IL
  Hinsdale, IL
  Hinsdale, IL
  Hinsdale, IL
• 2005-01-17 → 2007-02-14
  Ubs Financial Services Inc.
  Chicago, IL
  Weehawken, NJ
  Chicago, IL

Other Businesses

1)12/26/2019 - Navion Wealth Management - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 10/2018 - 160 hr/mth 2)12/26/2019 - Navion Wealth Management - Non-Variable Insurance - inv rel - at reported business location(s) - start: 10/2018 - 80 hr/mth 3)12/26/2019 - Image Enterprises, Inc. - officer, director, co-owner of advertising/marketing firm - non-inv rel - Hamilton, MI - start: 06/1994 - 6 hr/mth

Exams

• S66 Uniform Combined State Law Examination
  2005-01-15

Other Names

• James Casey
• James E. Casey
• James Emmett Casey
• James E Casey