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James Patrick Ulman

LPl Enterprise, LLC

Valparaiso, IN

Indianapolis, IN

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2024-11-14
  • IN RA
    APPROVED
    Since 2024-11-14

Branch Locations

470 Vale Park Rd Office Suite 103, Valparaiso, IN 46385 • United States

8888 Keystone Crossing Suite 500, Indianapolis, IN 46240 • 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
Cetera Investment Services Llc St Cloud MN 08/2011 07/2020
First Community Bank Beecher IL 08/2011 07/2020
Cetera Investment Advisers Llc Beecher IL 01/2014 07/2020
Prudential Insurance Company Of America Indianapolis IN 07/2020 Present
Pruco Securities, Llc. Indianapolis IN 07/2020 11/2024
Lpl Enterprise, Llc Indianapolis IN 11/2024 Present
  • 08/2011 → 07/2020
    Cetera Investment Services Llc
    St Cloud, MN
  • 08/2011 → 07/2020
    First Community Bank
    Beecher, IL
  • 01/2014 → 07/2020
    Cetera Investment Advisers Llc
    Beecher, IL
  • 07/2020 → Present
    Prudential Insurance Company Of America
    Indianapolis, IN
  • 07/2020 → 11/2024
    Pruco Securities, Llc.
    Indianapolis, IN
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Indianapolis, IN
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-02-08
  • S66 Uniform Combined State Law Examination
    2001-02-08
Other Names
  • James P Ulman

View on SEC IAPD

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