Keren Elizabeth James

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NM	RA	APPROVED	2026-05-08

NM RA
APPROVED

Since 2026-05-08

Branch Locations

Santa Fe, NM • 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
Gerald Peters Gallery	Santa Fe	NM	08/2015	02/2018
The Rikoon Group	Santa Fe	NM	02/2018	07/2020
Hightower Advisors, Llc	Santa Fe	NM	07/2020	05/2026
Lpl Financial Llc	Santa Fe	NM	05/2026	Present

08/2015 → 02/2018

Gerald Peters Gallery

Santa Fe, NM
02/2018 → 07/2020

The Rikoon Group

Santa Fe, NM
07/2020 → 05/2026

Hightower Advisors, Llc

Santa Fe, NM
05/2026 → Present

Lpl Financial Llc

Santa Fe, NM

Previous Registrations

2020-07-17 → 2026-05-08

Hightower Advisors, Llc

Santa Fe, NM

Santa Fe, NM

Chicago, IL

Sante Fe, NM
2019-08-19 → 2021-06-07

The Rikoon Group, Llc

Santa Fe, NM

Other Businesses

1. 04/2026 - Charter Financial Group - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 160 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 5/14/2026

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2025-10-24
S65	Uniform Investment Adviser Law Examination	2019-08-17

S63 Uniform Securities Agent State Law Examination

2025-10-24
S65 Uniform Investment Adviser Law Examination

2019-08-17

Other Names

Keren Elizabeth Hall
Keren Elizabeth Kirchner
Keren E James

View on SEC IAPD