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James Ray Romig

LPl Financial LLC

York, PA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2021-07-21
TX RA APPROVED_RES 2021-07-21
  • PA RA
    APPROVED
    Since 2021-07-21
  • TX RA
    APPROVED_RES
    Since 2021-07-21

Branch Locations

2010 S Queen St, York, PA 17403 • 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
Thrivent Investment Management Inc York PA 08/2015 03/2019
Waddell & Reed, Inc. York PA 03/2019 07/2021
Various Insurance Carriers For W&R Insurance Agencies Dallastown PA 03/2019 07/2021
Thrivent Financial Appleton WI 12/2015 03/2019
Mark Hoover York PA 03/2019 07/2021
Emily Weaver York PA 03/2019 07/2021
Elizabeth Adams York PA 03/2019 07/2021
Cbmc York York PA 05/2019 07/2021
Thrivent Financial Dallastown PA 08/2015 07/2021
Employment Enterprise, Inc Manassas VA 03/2019 10/2020
Cbmc York York PA 09/2020 07/2021
Mark D Hoover Llc York PA 03/2019 07/2021
Lpl Financial Llc York PA 07/2021 Present
  • 08/2015 → 03/2019
    York, PA
  • 03/2019 → 07/2021
    Waddell & Reed, Inc.
    York, PA
  • 03/2019 → 07/2021
    Various Insurance Carriers For W&R Insurance Agencies
    Dallastown, PA
  • 12/2015 → 03/2019
    Thrivent Financial
    Appleton, WI
  • 03/2019 → 07/2021
    Mark Hoover
    York, PA
  • 03/2019 → 07/2021
    Emily Weaver
    York, PA
  • 03/2019 → 07/2021
    Elizabeth Adams
    York, PA
  • 05/2019 → 07/2021
    Cbmc York
    York, PA
  • 08/2015 → 07/2021
    Thrivent Financial
    Dallastown, PA
  • 03/2019 → 10/2020
    Employment Enterprise, Inc
    Manassas, VA
  • 09/2020 → 07/2021
    Cbmc York
    York, PA
  • 03/2019 → 07/2021
    Mark D Hoover Llc
    York, PA
  • 07/2021 → Present
    York, PA
Previous Registrations
Other Businesses

1) 2019 - DBA for LPL Business (entity for LPL business) / Life's Journey Financial / Investment Related / York, PA 17408 2) 12/12/2022 - Life's Journey Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Employee - Start Date - 07/22/2021 - 0 Hours Per Month/0 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-09-29
  • S66 Uniform Combined State Law Examination
    2015-09-29
Other Names
  • James Ray Romig
  • Jim Romig
  • James R Romig

View on SEC IAPD

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