James Joseph Dubina Iii

Current Employers

Employment History

• 02/2016 → 02/2019
  Scottrade
  Rogers, AR
• 02/2018 → 02/2019
  Td Ameritrade, Inc.
  Rogers, AR
• 02/2018 → 02/2019
  Td Ameritrade Investment Management, Llc
  Omaha, NE
• 02/2019 → 10/2023
  Cetera Investment Services Llc
  St. Cloud, MN
• 02/2019 → 10/2023
  Cetera Investment Advisers Llc
  Fort Smith, AR
• 02/2019 → 10/2023
  Regions Bank
  Fort Smith, AR
• 10/2023 → 05/2025
  Cuso Financial Services Lp
  San Diego, CA
• 05/2025 → Present
  Lpl Financial Llc
  Garland, TX

Previous Registrations

• 2023-10-19 → 2025-05-15
  Cuso Financial Services, L.P.
  Pasadena, CA
  Garland, TX
• 2019-02-05 → 2021-11-04
  Cetera Investment Advisers Llc
  Fort Smith, AR
• 2018-02-27 → 2019-02-04
  Td Ameritrade, Inc.
  Rogers, AR
• 2018-02-26 → 2019-02-04
  Td Ameritrade Investment Management, Llc
  Omaha, NE
  Rogers, AR
• 2017-01-25 → 2018-02-26
  Scottrade Investment Management
  Saint Louis, MO
• 2009-12-14 → 2016-02-16
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fort Smith, AR
  Scottsdale, AZ
  Scottsdale, AZ
  Scottsdale, AZ

Other Businesses

1 - 06/2025 - Firehouse Financial - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - 160 Hours During Trading - At reported business location(s).

Exams

• S66 Uniform Combined State Law Examination
  2009-12-12

Other Names

• Jim Dubina