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James Stephen Defalco

LPl Financial LLC

San Diego, CA

Redondo Beach, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-11-24
  • CA RA
    APPROVED
    Since 2017-11-24

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Redondo Beach, CA • 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
National Planning Corporation El Segundo CA 07/2012 10/2017
National Planning Holdings El Segundo CA 01/2016 10/2017
Lpl Financial Llc Redondo Beach CA 10/2017 Present
  • 07/2012 → 10/2017
    National Planning Corporation
    El Segundo, CA
  • 01/2016 → 10/2017
    National Planning Holdings
    El Segundo, CA
  • 10/2017 → Present
    Lpl Financial Llc
    Redondo Beach, CA
Previous Registrations
  • 2012-07-10 → 2017-10-04
    National Planning Corporation
    El Segundo, CA
  • 2005-02-11 → 2010-04-16
    Assetmark, Inc.
    Concord, CA
    San Mateo, CA
  • 2001-05-01 → 2002-09-17
    Strong Capital Management Inc
    Menomonee Falls, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-03-28
S63 Uniform Securities Agent State Law Examination 1994-09-02
  • S65 Uniform Investment Adviser Law Examination
    2005-03-28
  • S63 Uniform Securities Agent State Law Examination
    1994-09-02
Other Names
  • Jim S Defalco
  • James Stephen Defalco

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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