James Michael Luongo

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2010 → Present
  Lpl Financial, Llc
  Morganville, NJ

Previous Registrations

• 2007-07-25 → 2010-05-19
  Northwestern Mutual Investment Services, Llc
  Princeton, NJ
  Colts Neck, NJ
  Englishtown, NJ
  Marlboro, NJ

Other Businesses

(1) 04/21/2010: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 20% Time Spent - INS Types: Life, Disability, LTC, Health, Fixed Annuities (2) 05/05/2015: Luongo Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - 242 Route 79 North Suite 8 Morganville, NJ 07751 - Start 03/01/2013 - 160 Hr/Mo; 130 Hours During Securities Trading (3) 08/24/2016: Total Health Transformation - Business Owner - Not Investment Related - 54 Burlington Drive, Marlboro, NJ 07746 - Start 06/01/2017 - 24 Hr/Mo; 0 Hours During Securities Trading - Health Coach. (4) 12/4/2018 - Luongo Wealth Management - Investment Related - Home Based & At Reported Business Location(s) - Other-Writing a book - 40 Hours Per Month/0 Hours During Securities Trading (5) 01/08/2025 - Luongo Wealth Management Inc - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2025 - 160 hours per month/ during trading

Exams

• S66 Uniform Combined State Law Examination
  2007-04-19
• S63 Uniform Securities Agent State Law Examination
  1991-10-21

Designations

• Chartered Financial Consultant