James Patrick Curtin

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2026-08-12
TX	RA	APPROVED_RES	2026-07-31

CT RA
APPROVED

Since 2026-08-12
TX RA
APPROVED_RES

Since 2026-07-31

Branch Locations

Ridgefield , CT • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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

Organization	City	State	From	To
Hsbc Bank Usa, N.A.	New York	NY	08/2016	08/2019
Wells Fargo Clearing Services, Llc	Greenwich	CT	08/2019	07/2026
Lpl Financial	Ridgefield	CT	07/2026	Present

08/2016 → 08/2019

Hsbc Bank Usa, N.A.

New York, NY
08/2019 → 07/2026

Wells Fargo Clearing Services, Llc

Greenwich, CT
07/2026 → Present

Lpl Financial

Ridgefield, CT

Previous Registrations

2019-09-20 → 2026-08-11

Wells Fargo Clearing Services, Llc

White Plains, NY

Purchase, NY

Purchase, NY
2008-09-17 → 2019-09-23

Hsbc Securities (Usa) Inc.

New York, NY

New York, NY

New York, NY

New York, NY

Other Businesses

1. 7/2026 - Curtain Wealth & Retirement Advisors - DBA for LPL Business (entity for LPL business) - INV REL - 160 Hour(s)/Month – 160 Hour(s) During Trading - At Reported business location(s) - OBA Start date: 7/30/2026

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-09-16
S63	Uniform Securities Agent State Law Examination	1996-02-06

S65 Uniform Investment Adviser Law Examination

2008-09-16
S63 Uniform Securities Agent State Law Examination

1996-02-06

View on SEC IAPD