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James Allen Walker

LPl Financial LLC

Elmhurst, IL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-01-02
IL RA APPROVED 2009-09-08
  • TX RA
    APPROVED
    Since 2024-01-02
  • IL RA
    APPROVED
    Since 2009-09-08

Branch Locations

Elmhurst, IL • 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
OrganizationCityStateFromTo
Lpl Financial Corporation Westmont IL 09/2009 Present
  • 09/2009 → Present
    Lpl Financial Corporation
    Westmont, IL
Previous Registrations
  • 2002-11-01 → 2009-09-08
    Waterstone Financial Group, Inc.
    Boston, MA
    Westmont, IL
    Elmhurst, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-01-05
S63 Uniform Securities Agent State Law Examination 1993-03-10
  • S65 Uniform Investment Adviser Law Examination
    1999-01-05
  • S63 Uniform Securities Agent State Law Examination
    1993-03-10
Designations

View on SEC IAPD

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