James Curtis Harris

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2019-06-03

UT RA
APPROVED

Since 2019-06-03

Branch Locations

12271 South 900 East, Draper, UT 84020 • 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

Organization	City	State	From	To
Zions Bank	Draper	UT	02/2010	Present
Lpl Financial Llc	Salt Lake City	UT	08/2018	Present

02/2010 → Present

Zions Bank

Draper, UT
08/2018 → Present

Lpl Financial Llc

Salt Lake City, UT

Other Businesses

1)08/27/2018 - Zions Wealth Advisors - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - 160 hr/mth 2) 08/27/2018 - ZB, N.A - Financial Institution Duty - inv rel - at reported business location(s) - start: 07/12 - 160 hr/mth

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-05-31

S66 Uniform Combined State Law Examination

2019-05-31

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Other Businesses

Exams

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