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James Francis Daisey

LPl Financial LLC

Hanscom A F B, MA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2024-05-22
  • MA RA
    APPROVED
    Since 2024-05-22

Branch Locations

1610 Eglin St, Hanscom A F B, MA 01731 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citizens Bank Boston MA 11/2013 12/2017
Cco Investment Services Medfield MA 11/2013 12/2017
Citizens Securities Inc. Norwood MA 12/2017 02/2020
Citizens Bank Norwood MA 12/2017 02/2020
Citizens Securities, Inc Canton MA 07/2020 08/2020
Citizens Bank Natick MA 07/2020 08/2020
Citizens Bank Needham MA 02/2020 07/2020
Cuso Financial Services, Lp San Diego CA 10/2020 10/2023
Workers Credit Union Westford MA 10/2020 10/2023
Lpl Financial Llc Hanscom A F B MA 05/2024 Present
Hanscom Federal Credit Union Hanscom A F B MA 10/2023 Present
  • 11/2013 → 12/2017
    Citizens Bank
    Boston, MA
  • 11/2013 → 12/2017
    Cco Investment Services
    Medfield, MA
  • 12/2017 → 02/2020
    Citizens Securities Inc.
    Norwood, MA
  • 12/2017 → 02/2020
    Citizens Bank
    Norwood, MA
  • 07/2020 → 08/2020
    Citizens Securities, Inc
    Canton, MA
  • 07/2020 → 08/2020
    Citizens Bank
    Natick, MA
  • 02/2020 → 07/2020
    Citizens Bank
    Needham, MA
  • 10/2020 → 10/2023
    Cuso Financial Services, Lp
    San Diego, CA
  • 10/2020 → 10/2023
    Workers Credit Union
    Westford, MA
  • 05/2024 → Present
    Lpl Financial Llc
    Hanscom A F B, MA
  • 10/2023 → Present
    Hanscom Federal Credit Union
    Hanscom A F B, MA
Previous Registrations
  • 2020-11-17 → 2023-10-15
    Cuso Financial Services, L.P.
    San Diego, CA
    Fitchburg, MA
  • 2020-07-17 → 2020-08-17
    Citizens Securities, Inc.
    Johnston, RI
    Natick, MA
  • 2018-03-19 → 2020-02-13
    Citizens Securities, Inc.
    Medfield, MA
    Norwood, MA
    Franklin, MA
    Canton, MA
    Chestnut Hill, MA
    Natick, MA
Other Businesses

1) 05/03/2024 - Hanscom Investment Services - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-03-16
S63 Uniform Securities Agent State Law Examination 2014-03-04
  • S65 Uniform Investment Adviser Law Examination
    2018-03-16
  • S63 Uniform Securities Agent State Law Examination
    2014-03-04
Other Names
  • James Francis Daisey
  • James Daisey

View on SEC IAPD

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BTS ASSET MANAGEMENT, INC. · LINCOLN, MA
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