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James Edward Corbett

LPl Financial LLC

Chicago, IL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2025-01-24
  • IL RA
    APPROVED
    Since 2025-01-24

Branch Locations

231 S La Salle St # 13 13Th Floor, Chicago, IL 60604 • 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
Wayne Hummer Investments Chicago IL 11/2002 Present
Wayne Hummer Investments L.L.C. Chicago IL 12/2006 06/2018
Wayne Hummer Investments L.L.C. Chicago IL 06/2018 Present
Lpl Financial Llc Chicago IL 01/2025 Present
  • 11/2002 → Present
    Wayne Hummer Investments
    Chicago, IL
  • 12/2006 → 06/2018
    Wayne Hummer Investments L.L.C.
    Chicago, IL
  • 06/2018 → Present
    Wayne Hummer Investments L.L.C.
    Chicago, IL
  • 01/2025 → Present
    Chicago, IL
Previous Registrations
  • 2009-05-28 → 2025-01-24
    Wintrust Investments Llc
    Chicago, IL
    Chicago, IL
    Altamont, IL
    Springfield, IL
    Chicago, IL
    Chicago, IL
    Oak Forest, IL
    Trenton, IL
    Chicago, IL
    Pittsfield, IL
    Roodhouse, IL
    Winchester, IL
    Chicago, IL
    Chicago, IL
    Pontiac, IL
    Albers, IL
    Pawnee, IL
    Appleton, WI
    Springfield, IL
    Springfield, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Maryville, IL
    Shelbyville, IL
    Oak Forest, IL
    Independence, IA
    Independence, IA
    Waterloo, IA
    Cedar Rapids, IA
    Bethany, IL
    Pana, IL
    Chatham, IL
    Morris, IL
    Pontiac, IL
    Collinsville, IL
    Edwardsville, IL
    Morton, IL
    Swansea, IL
    Galena, IL
    Eagle, CO
    Chicago, IL
    Warren, IL
    Taylorville, IL
    Joliet, IL
    Chicago, IL
    Macomb, IL
    Chicago, IL
    Peoria, IL
    Chicago, IL
    Chicago, IL
  • 2008-08-20 → 2009-12-31
    Chicago, IL
Other Businesses

1-01/2025 / Boutique Hearing / Business Owner / Inv Rltd / 5 hrs mnth / start 11/01/2017 2- 01/2025 / Wintrust Investments LLC / DBA for LPL Business (entity for LPL business) / Inv Rltd / 160 hrs mnth / 130 hrs during trading / start 07/29/1996

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-15
S63 Uniform Securities Agent State Law Examination 1996-04-15
  • S66 Uniform Combined State Law Examination
    2007-03-15
  • S63 Uniform Securities Agent State Law Examination
    1996-04-15
Other Names
  • James Edward Corbett
  • James E Corbett

View on SEC IAPD

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