James Francis Verboys

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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

• 07/1995 → 11/2024
  Pruco Securities, Llc.
  Clifford Twp, PA
• 11/2024 → Present
  Lpl Enterprise, Llc
  Clifford Twp., PA

Previous Registrations

• 2016-10-31 → 2024-11-14
  Pruco Securities, Llc.
  Vestal, NY
  Vestal, NY
  Endwell, NY
  Clifford Twp., PA

Other Businesses

1) 10/29/2024 - NY Rail Trail LLC & Penn Rail Trail LLC - LLCs formed to hold real estate in anticipation of utility usage. No real estate held now or expected anytime soon. Likely to close LLCs soon - Business Entity for Tax/Investment Purposes Only - Non Inv Related - At Clifford Township, PA - Start Date 07/01/2015 - 0hrs/mth - 0hrs/mth During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-01-21
• S63 Uniform Securities Agent State Law Examination
  1995-10-05