James Harry Marshall

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2022-03-31

NY RA
APPROVED

Since 2022-03-31

Branch Locations

47-49 Front St., Binghamton, NY 13905 • United States

20 Jenison Avenue, Johnson City, NY 13790 • United States

4481 Vestal Parkway, Vestal, NY 13850 • United States

148 Vestal Pkwy E Vestal, Vestal, NY 13850 • United States

5 Mile Point Dr Shopping Ctr, Kirkwood, NY 13795 • United States

Jamesville, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
New York Life Insurance Co	Dewitt	NY	06/2012	01/2022
Nylife Securities Llc	Dewitt	NY	02/2014	01/2022
Lpl Financial, Llc	Vestal	NY	01/2022	Present
M&T Bank	Vestal	NY	01/2022	Present

06/2012 → 01/2022

New York Life Insurance Co

Dewitt, NY
02/2014 → 01/2022

Nylife Securities Llc

Dewitt, NY
01/2022 → Present

Lpl Financial, Llc

Vestal, NY
01/2022 → Present

M&T Bank

Vestal, NY

Other Businesses

1. 01/03/2022 - WILMINGTON ADVISORS AT M&T/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ VESTAL, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-03-30
S63	Uniform Securities Agent State Law Examination	2017-05-02

S65 Uniform Investment Adviser Law Examination

2022-03-30
S63 Uniform Securities Agent State Law Examination

2017-05-02

Other Names

Jim Marshall

View on SEC IAPD