James Christopher Sterbick

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-07-17
CA	RA	APPROVED	1997-12-31

TX RA
APPROVED_RES

Since 2025-07-17
CA RA
APPROVED

Since 1997-12-31

Branch Locations

Pacific Grove, 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

Organization	City	State	From	To
Lpl Financial Llc	Carmel	CA	01/1996	Present

01/1996 → Present

Lpl Financial Llc

Carmel, CA

Other Businesses

1) 03/18/2025 - pebble beach golf course - Not Investment Related - Outside/W-2 Employment - pebble beach ca - Start Date:03/31/2025 - 12 Hrs/Mth - 0 Hrs During Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1994-10-07

S63 Uniform Securities Agent State Law Examination

1994-10-07

Other Names

Jim Sterbick
James C Sterbick

View on SEC IAPD