James Thomas Ferris

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

• 03/2021 → 02/2023
  Columbia Management Investment Distributors, Inc.
  Boston, MA
• 06/2013 → 03/2021
  Oracle Corporation
  Burlington, MA
• 02/2023 → Present
  Lpl Financial
  Bristol, CT

Previous Registrations

• 2021-04-22 → 2023-02-24
  Columbia Management Investment Advisers, Llc
  Boston, MA

Other Businesses

1) 05/25/2023 - The Ferris Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 06/01/2023 - 35 Hours Per Month/ 30 Hours During Securities Trading 2) 01/21/2026 - Boston Condo Rental - Real Estate Rental - Owner - Investment Related - Boston, MA - Start Date 09/01/2025 - 0 hours per month/ during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-12-12
• S63 Uniform Securities Agent State Law Examination
  2020-05-09