James Matthew Horris

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2025-06-25
TX	RA	APPROVED	2025-06-24

MD RA
APPROVED

Since 2025-06-25
TX RA
APPROVED

Since 2025-06-24

Branch Locations

3305 Toone St, Baltimore, MD 21224 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Baltimore, MD • 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 No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Dragon Hops Brewing, Llc	Purcellville	VA	01/2017	05/2019
Nisos Group, Llc	Alexandria	VA	01/2017	05/2018
Aqus, Llc	New York	NY	05/2015	01/2017
3V Security Solutions, Llc	Bel Air	MD	11/2015	12/2016
Axa Advisors, Llc	New York	NY	06/2019	06/2020
Equitable Advisors, Llc	New York	NY	06/2019	06/2022
Lincoln Investment	Fort Washington	PA	06/2022	06/2025
Capital Analysts	Fort Washington	PA	06/2022	06/2025
Lpl Financial Llc	Baltimore	MD	06/2025	Present

01/2017 → 05/2019

Dragon Hops Brewing, Llc

Purcellville, VA
01/2017 → 05/2018

Nisos Group, Llc

Alexandria, VA
05/2015 → 01/2017

Aqus, Llc

New York, NY
11/2015 → 12/2016

3V Security Solutions, Llc

Bel Air, MD
06/2019 → 06/2020

Axa Advisors, Llc

New York, NY
06/2019 → 06/2022

Equitable Advisors, Llc

New York, NY
06/2022 → 06/2025

Lincoln Investment

Fort Washington, PA
06/2022 → 06/2025

Capital Analysts

Fort Washington, PA
06/2025 → Present

Lpl Financial Llc

Baltimore, MD

Previous Registrations

2022-06-13 → 2025-06-23

Lincoln Investment

Fort Washington, PA

Baltimore, MD

Brookeville, MD

Annapolis, MD

Palm Beach Gardens, FL

Baltimore, MD

Baltimore, MD
2022-06-13 → 2025-06-23

Capital Analysts

Baltimore, MD

Brookeville, MD
2020-03-11 → 2022-06-02

Equitable Advisors, Llc

Columbia, MD

Other Businesses

1.06/24/2025; SIMPL (Simple Hair Care, SIMPL Hair Care, ETC); Business Owner; Not Investment Related; Baltimore,MD; Start Date 11/01/2023; 4hrs/mth; 0hrs during trading 2.06/24/2025; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Gallagher Wealth Management Services, LLC; Investment Related; at Reported Business Location(s); Start Date 06/13/2022; 160hrs/mth; 8hrs during trading 3.06/24/2025; Chesapeake Growth Advisors; Business Owner; Not Investment Related; Baltimore,MD; Start Date 01/01/2024; 8hrs/mth; 0hrs during trading 4.06/24/2025; Chesapeake Government Affairs; Business Owner; Not Investment Related; ; Start Date 05/01/2025; 20hrs/mth; 0hrs during trading 5.07/22/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Chesapeake Private Wealth; Investment Related; at Reported Business Location(s); Start Date 08/01/2026; 180hrs/mth; 130hrs during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-02-29
S63	Uniform Securities Agent State Law Examination	2020-01-13

S65 Uniform Investment Adviser Law Examination

2020-02-29
S63 Uniform Securities Agent State Law Examination

2020-01-13

Other Names

James Horris

View on SEC IAPD