James A Rishel

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2022-11-14

NY RA
APPROVED

Since 2022-11-14

Branch Locations

Clinton, NY • 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
Cadaret, Grant & Co., Inc.	Clinton	NY	03/2000	11/2022
Lpl Financial Llc	Clinton	NY	11/2022	Present

03/2000 → 11/2022

Cadaret, Grant & Co., Inc.

Clinton, NY
11/2022 → Present

Lpl Financial Llc

Clinton, NY

Previous Registrations

2021-05-04 → 2022-11-16

Cadaret, Grant & Co., Inc.

Clinton, NY

Syracuse, NY

Other Businesses

1)11/14/2022 - Insurance Sales - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 03/200 2)11/14/2022 - Rental Property - 40 & 50 Chenango Ave, Clinton, NY 13323 - Inv Rel - Start: 01/2001 3)11/14/2022 - James A. Rishel CPA - Tax Prep/Accounting/CPA - Inv Rel - At Reported Business Location(s) - Start: 03/2000

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-06-21
S63	Uniform Securities Agent State Law Examination	1991-07-25

S65 Uniform Investment Adviser Law Examination

1996-06-21
S63 Uniform Securities Agent State Law Examination

1991-07-25

Other Names

James A Rishel
James A Rishel

View on SEC IAPD