James Ustby

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

• 06/2018 → 08/2019
  Ameriprise Financial Services Inc
  Minneapolis, MN
• 09/2015 → 06/2018
  University Of St. Thomas
  St. Paul, MN
• 05/2016 → 09/2016
  College Works Painting
  Rochester, MN
• 05/2017 → 09/2017
  American Family Insurance
  Rochester, MN
• 10/2019 → 03/2021
  Ameriprise Financial Services Inc
  Rochester, MN
• 08/2019 → 10/2019
  Unemployed
  Rochester, MN
• 03/2021 → 06/2024
  Self Employed
  Rochester, MN
• 06/2024 → Present
  Lpl Financial
  Durham, NC

Previous Registrations

• 2019-11-19 → 2021-03-23
  Ameriprise Financial Services, Llc
  Rochester, MN
  Waseca, MN
• 2019-03-22 → 2019-08-07
  Ameriprise Financial Services, Llc
  Minneapolis, MN

Other Businesses

1- 09/30/2024- Karma Financial Group- Non-Variable Insurance- Insurance Representative - Investment Related - At Reported Business location(s) - Start Date 09/28/2024 - 40 Hours Per Month/ 2 Hours During Trading 2- 02/20/2025 - Thorough Financial Group, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/06/2025 - 170 hours per month/ 150 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2024-09-25

Other Names

• James Ustby
• James Russell Ustby