James H Mooney

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

• 02/2016 → 07/2022
  Santander Bank, Na
  Boston, MA
• 02/2016 → 07/2022
  Santander Securities, Llc
  Dorchester, MA
• 07/2022 → 07/2025
  Cadaret Grant & Co., Inc.
  West Conshohocken, PA
• 07/2025 → Present
  Lpl Financial Llc
  West Conshohocken, PA

Previous Registrations

• 2022-07-29 → 2025-07-10
  Cadaret, Grant & Co., Inc.
  Syracuse, NY
  New Britain, PA
  Little Silver, NJ
  Syracuse, NY
  Syracuse, NY
  West Conshohocken, PA
• 2016-02-10 → 2022-08-01
  Santander Securities Llc
  Glen Mills, PA
  Kennett Square, PA
  Broomall, PA
  Toms River, NJ
  Cherry Hill, NJ
  West Chester, PA
  West Chester, PA
  Bethlehem, PA
  Devon, PA
  Villanova, PA
  Parkesburg, PA
  Avondale, PA
  Media, PA
  Villanova, PA
  Media, PA
  Wilmington, DE
  Exton, PA
  Havertown, PA
  Havertown, PA
  Philadelphia, PA
  Philadelphia, PA
  Philadelphia, PA
  Glen Mills, PA
  Exton, PA
  Bethlehem, PA
  Marcus Hook, PA
  Kennett Square, PA
  West Chester, PA
  West Chester, PA
  Wilmington, DE
  King Of Prussia, PA
  Devon, PA
  Conshohocken, PA
  Broomall, PA
  Villanova, PA
  Kennett Square, PA
  Blue Bell, PA
  Marcus Hook, PA
  Wilmington, DE
  West Chester, PA
  Glen Mills, PA
  Doylestown, PA
  Lafayette Hill, PA
  Flourtown, PA
  West Chester, PA
  Conshohocken, PA
• 2012-07-06 → 2016-02-03
  Voya Financial Advisors, Inc.
  Conshohocken, PA
  Charlotte, NC
• 2004-10-07 → 2012-06-26
  Wells Fargo Clearing Services, Llc
  Jenkintown, PA
  Jenkintown, PA

Other Businesses

1- 07/2025 - JHM Asset Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/01/2022 - 120 hours per month/ during trading 2- 07/2025 - Jhm Asset Managemet - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 08/01/2022 - 5 hours per month/ during trading 3- 07/2025 - James Mooney - Real Estate Rental - Investment Related - Harleysville, PA - Start Date 04/23/2014 - 2 hours per month/ during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-09-22
• S63 Uniform Securities Agent State Law Examination
  2000-05-05