James Michael Raft

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

• 07/2008 → 05/2024
  Lincoln Financial Securities Corporation
  Woodland Hills, CA
• 05/2024 → Present
  Lpl Financial Llc
  Woodland Hills, CA

Previous Registrations

• 2001-01-31 → 2024-05-17
  Osaic Fs, Inc.
  Woodland Hills, CA
  Ventura, CA
  Ventura, CA
• 2001-04-30 → 2005-11-17
  Independent Advisers Group Corp
  Ventura, CA

Other Businesses

1) 05/14/2024 - JAMES RAFT FINANCIAL - Non-Variable Insurance - Selling: TRADIONAL LIFE INSURANCE, FIXED ANNUITIES, LTC AND DISABILITY - RD MARKETING GROUP - CA 91367 - Investment related - 25 Hours per month - Start date: 09/01/1981. 2) 05/14/2024 - JAMES RAFT FINANCIAL - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-10
• S63 Uniform Securities Agent State Law Examination
  1992-10-21

Other Names

• James Michael Raft
• James Raft