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James Bascom Herrin

LPl Financial LLC

Round Rock, TX

Austin, TX

CRD 8040400

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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:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-04-29
  • TX RA
    APPROVED
    Since 2026-04-29

Branch Locations

Round Rock, TX • United States

13620 N Fm 620, Bldg C Ste 200, Austin, TX 78717 • 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
OrganizationCityStateFromTo
Higginbotham Houston TX 05/2024 08/2024
The Orvis Company Houston TX 08/2018 01/2022
Full Time Education San Marcos TX 02/2022 04/2024
Full Time Education San Marcos TX 09/2024 12/2024
Charles Schwab & Co., Inc. Austin TX 03/2025 03/2026
Full Time Education Houston TX 07/2014 08/2018
Lpl Financial Llc Austin TX 04/2026 Present
  • 05/2024 → 08/2024
    Higginbotham
    Houston, TX
  • 08/2018 → 01/2022
    The Orvis Company
    Houston, TX
  • 02/2022 → 04/2024
    Full Time Education
    San Marcos, TX
  • 09/2024 → 12/2024
    Full Time Education
    San Marcos, TX
  • 03/2025 → 03/2026
    Charles Schwab & Co., Inc.
    Austin, TX
  • 07/2014 → 08/2018
    Full Time Education
    Houston, TX
  • 04/2026 → Present
    Lpl Financial Llc
    Austin, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-04-29
S63 Uniform Securities Agent State Law Examination 2025-07-22
  • S65 Uniform Investment Adviser Law Examination
    2026-04-29
  • S63 Uniform Securities Agent State Law Examination
    2025-07-22

View on SEC IAPD

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