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James Francis Curley

LPl Financial LLC

Alexandria, LA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-10-04
LA RA APPROVED 2019-10-03
  • TX RA
    APPROVED_RES
    Since 2019-10-04
  • LA RA
    APPROVED
    Since 2019-10-03

Branch Locations

128 Versailles Blvd., Alexandria, LA 71303 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Fsc Securities Corporation Alexandria LA 09/2007 10/2019
Fsc Agency Alexandria LA 09/2007 10/2019
Fsc Securities Corp Ria Atlanta GA 09/2007 10/2019
Lpl Financial Llc Alexandria LA 10/2019 Present
  • 09/2007 → 10/2019
    Fsc Securities Corporation
    Alexandria, LA
  • 09/2007 → 10/2019
    Fsc Agency
    Alexandria, LA
  • 09/2007 → 10/2019
    Fsc Securities Corp Ria
    Atlanta, GA
  • 10/2019 → Present
    Alexandria, LA
Previous Registrations
  • 2008-10-03 → 2019-10-03
    Fsc Securities Corporation
    Alexandria, LA
Other Businesses

1)10/1/19- Financial Solutions Group- DBA for LPL Business (entity for LPL business)- Inv. Related- Alexandria, LA -100% 2)10/1/19- James F. Curley LLC- Business Entity For Tax/Investment Purposes Only- Inv. Related- Alexandria, LA -100% 3)10/1/19- FSG Holdings, LLC- Business Entity For Tax/Investment Purposes Only- Inv. Related- Alexandria, LA - 100%

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-22
S63 Uniform Securities Agent State Law Examination 1994-02-24
  • S66 Uniform Combined State Law Examination
    2008-08-22
  • S63 Uniform Securities Agent State Law Examination
    1994-02-24
Other Names
  • Jamie Curley

View on SEC IAPD

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