James Farnham

Current Employers

Employment History

• 02/2016 → Present
  Lpl Financial, Llc
  Portsmouth, NH
• 02/2016 → Present
  Northeast Planning Associates, Inc.
  Portsmouth, NH

Previous Registrations

• 2011-07-05 → 2016-03-04
  Morgan Stanley
  Portsmouth, NH
• 2008-05-07 → 2011-07-07
  Edward Jones
  Portsmouth, NH
  Exeter, NH
  St Louis, MO
  North Hampton, NH

Other Businesses

1. 2/12/2016: Northeast Planning Associates, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1/16/16 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 80%. 2. 3/28/2016: Northeast Planning Associates - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 02/12/2016 - 2 Hours Per Month During Securities Trading. 3. 03/30/2016; Northeast Planning Associates, Inc; Registered Investment Advisor; INV REL; AT REPORTED BUSINESS LOCATION(S); START DATE 1/16/16; TIME SPENT 10%. 4. 03/30/2016; Northeast Planning Associates, Inc; Registered Investment Advisor DBA; Northeast Planning Associates, Inc; INV REL; AT REPORTED BUSINESS LOCATION(S); START DATE 1/16/16; TIME SPENT 10%. 5. 8/24/2021 - Farnham Financial - DBA: Farnham Financial, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 07/07/2021 - 160 Hours Per Month/160 Hours During Securities Trading. 6. 02/25/2022 - HRCU Wealth Management - Investment Related - 133 Brock Street, Rochester, NH 03867 - Other - DBA of LPL's RIA - Start Date - 02/28/2022 - 80 Hours Per Month/4 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2008-04-24

Other Names

• James E Farnham