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James Edward Utz

LPl Financial LLC

Kennewick, WA

Fort Mill, SC

Kennewick, WA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-05-12
WA RA APPROVED 2026-05-12
  • TX RA
    APPROVED
    Since 2026-05-12
  • WA RA
    APPROVED
    Since 2026-05-12

Branch Locations

8350 W. Grandridge Blvd., Suite 200 Ofc209&302, Kennewick, WA 99336 • United States

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

8350 W.GRandridge Blvd Ste 200 Ofc 209 & 302, Kennewick, WA 99336 • 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
Wells Fargo Advisors, Llc Kennewick WA 04/2016 11/2016
Wells Fargo Clearing Services, Llc Kennewick WA 11/2016 05/2026
Lpl Financial Llc Kennewick WA 05/2026 Present
Previous Registrations
Other Businesses

1) 4/21/26 - French Creek Vineyard, LLC - co-owner / manager - Non-Inv. Related - Prosser, WA - start date 08/2021- 10hrs/mth - 0 during trading .

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-09-08
S65 Uniform Investment Adviser Law Examination 1995-09-08
  • S63 Uniform Securities Agent State Law Examination
    1995-09-08
  • S65 Uniform Investment Adviser Law Examination
    1995-09-08
Other Names
  • James Edward Utz
  • James Utz

View on SEC IAPD

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