James Polonsky

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

• 06/2009 → 09/2025
  Morgan Stanley Smith Barney
  Short Hills, NJ
• 01/2015 → 09/2025
  Morgan Stanley Private Bank, National Association
  New York, NY
• 09/2025 → Present
  Lpl Financial Llc
  Henderson, NV
• 01/2015 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2009-06-01 → 2025-09-05
  Morgan Stanley
  Short Hills, NJ
  Henderson, NV
  Henderson, NV
• 2008-01-24 → 2009-06-01
  Morgan Stanley & Co. Llc
  Short Hills, NJ
• 1997-07-02 → 2008-01-29
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Short Hills, NJ
  Short Hills, NJ

Other Businesses

1. 08/2025 - Coyer Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hour(s)/Month - 8 Hour(s) During Trading - At Reported Business Location (s) - OBA Start Date: 9/3/2025 2. 08/2025 - Polonsky Coins and Collectibles LLC - Business Owner - Not Investment Related - 10 Hour(s)/Month - 0 Hour(s) During Trading - Henderson, NV 89011 - OBA Start Date: 06/01/1968 3. 08/2025 - Gladstone Wealth Partners - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hour(s)/Month - 8 Hour(s) During Trading - At Reported Business Location (s) - OBA Start Date: 9/3/2025

Exams

• S66 Uniform Combined State Law Examination
  2007-08-16
• S63 Uniform Securities Agent State Law Examination
  1992-06-18