James Patrick Ulman

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

• 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

• 2020-07-22 → 2024-11-14
  Pruco Securities, Llc.
  Indianapolis, IN
  Valparaiso, IN
  Indianapolis, IN
• 2014-01-21 → 2020-07-17
  Cetera Investment Advisers Llc
  Beecher, IL
• 2011-08-01 → 2014-01-21
  Cetera Investment Services Llc
  Beecher, IL
• 2004-09-13 → 2011-08-02
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Merrillville, IN
  Merrillville, IN
• 2001-06-01 → 2004-09-01
  A. G. Edwards & Sons, Inc.
  Chesterton, IN

Exams

• S66 Uniform Combined State Law Examination
  2001-02-08

Other Names

• James P Ulman