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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

1901 Butterfield Road Suite 250, Downers Grove, IL 60515 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Defano Physical Therapy Plainfield IL 03/2009 05/2018
Pruco Securities, Llc. Downers Grove IL 03/2019 11/2024
Bmo Harris Bank Darien IL 05/2018 07/2018
State Farm Palos Heights IL 08/2018 10/2018
First Federal Bank Plainfield IL 10/2018 01/2019
Unemployed Plainfield IL 02/2019 02/2019
Lpl Enterprise, Llc Downers Grove IL 11/2024 Present
  • 03/2009 → 05/2018
    Defano Physical Therapy
    Plainfield, IL
  • 03/2019 → 11/2024
    Downers Grove, IL
  • 05/2018 → 07/2018
    Bmo Harris Bank
    Darien, IL
  • 08/2018 → 10/2018
    State Farm
    Palos Heights, IL
  • 10/2018 → 01/2019
    First Federal Bank
    Plainfield, IL
  • 02/2019 → 02/2019
    Unemployed
    Plainfield, IL
  • 11/2024 → Present
    Downers Grove, IL
Previous Registrations
Other Businesses

1) 11/22/2024 - American Republic Insurance Services - Medicare Sales Broker. I help Client choose the best Medicare option for their needs - Non-Variable Insurance - Inv Related - At Downers Grove, IL - Start Date 11/12/2019 - 5hrs/mth - 2hrs/mth During Trading 2) 10/30/2024 - Official Finders - Coach/ Sports/Fitness - Umpire and Referee young baseball, softball, and basketball games - Coach/ Sports/ Fitness - Non Inv Related - At Downers Grove, IL - Start Date 09/23/2022 - 6hrs/mth - 0hrs/mth During Trading 3) 02/05/2025 - Crump Life Insurance Services - Non-Variable Insurance - I sell fixed life insurance. - INV Related - At Harrisburg, PA - Start Date 08/19/2020 - 20hrs/mth - 20hrs During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-03-14
S65 Uniform Investment Adviser Law Examination 2015-10-14
S63 Uniform Securities Agent State Law Examination 2012-11-28
  • S66 Uniform Combined State Law Examination
    2020-03-14
  • S65 Uniform Investment Adviser Law Examination
    2015-10-14
  • S63 Uniform Securities Agent State Law Examination
    2012-11-28
Other Names
  • James Defano
  • James L Defano
  • James Leo Defano

View on SEC IAPD

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