James D Asplin

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

• 01/1999 → 08/2018
  Edward D. Jones & Co., L.P.
  Port Washington, WI
• 08/2018 → Present
  Lpl Financial Llc
  Port Washington, WI

Previous Registrations

• 1999-01-06 → 2018-08-28
  Edward Jones
  Port Washington, WI

Other Businesses

1) 08/24/2018 - Real Estate Rental - Farm land - 0% - INVESTMENT RELATED - PORT WASHINGTON, WI 53074 2) 08/24/2018 - Other - Farm - WAP LLC - 0% - INVESTMENT RELATED - PORT WASHINGTON, WI 53074 3) 5/13/2019 - Newport Partners Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/24/2018 - 160 Hours Per Month/8 Hours During Securities Trading. 4) 3/23/2023 - JDA Financial DBA Newport Partners Wealth Management - Investment Related - 328 S EVA ST PORT WASHINGTON WI 53074 - Insurance Agency - Start Date - 10/15/2022 - 10 Hours Per Month/5 Hours During Securities Trading 5) 06/21/2023 - Newport Partners Wealth Management - Investment Related - At Reported Business Location(s) - Insurance Agency - Start Date 01/01/2023 - 5 Hours Per Month/ 0 Hours During Securities Trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1995-10-10

Other Names

• James Dean Asplin