Jim Casey

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

• 12/2012 → Present
  Lpl Financial Llc
  Plantation, FL

Previous Registrations

• 2010-09-21 → 2012-12-13
  New Century Financial Group, Llc
  Fort Lauderdale, FL
  Princeton, NJ
  Ft. Lauderdale, FL
• 1996-12-23 → 2010-08-09
  Lpl Financial Llc
  Fort Lauderdale, FL
  Fort Lauderdale, FL

Other Businesses

1. 4/16/2013: GELBWAKS INSURANCE AGENCY - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - Gelbwaks Insurance Agency, non-investment related. 10051 NW 1 Ct. Plantation, FL 33324. Insurance referral. 1 hr monthly. Recommend Life, Health, Disability, and Long Term Health Care to Gelbwaks Insurance Agency as appropriate - 1% TIME SPENT. 2. 07/21/2015 - NO BUSINESS NAME - REAL ESTATE RENTAL - INV REL - Tavernier, FL - Occasional rental of home - OBA START 7/15/2015 - 1 HR PER MONTH/0 HRS DURING TRADING. 3. 1/19/2017 - No Business Name - Not Investment Related - 1333 S. University Drive, Suite 200, Plantation, FL 33324 - Real Estate Rental - Started 01/01/2017 - 1 Hour Per Month During Securities Trading - Real estate rental arrangement. 4. 2/23/2017 - Garnet Financial Advisors - Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 01/01/1997 - 0 Hours Per Month.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-11-27
• S63 Uniform Securities Agent State Law Examination
  1993-10-06

Designations

• Certified Financial Planner

Other Names

• Jim Casey
• Lionel James Casey
• Lionel James Casey