James Allen O'neal

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2017-11-29
TX	RA	APPROVED_RES	2017-11-29

CO RA
APPROVED

Since 2017-11-29
TX RA
APPROVED_RES

Since 2017-11-29

Branch Locations

Severance, CO • United States

Windsor, CO • 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

Organization	City	State	From	To
National Planning Corporation	Windsor	CO	05/2009	11/2017
Lpl Financial Llc	Windsor	CO	11/2017	Present

05/2009 → 11/2017

National Planning Corporation

Windsor, CO
11/2017 → Present

Lpl Financial Llc

Windsor, CO

Previous Registrations

2010-07-19 → 2017-11-29

National Planning Corporation

Windsor, CO

Windsor, CO

Other Businesses

1. 09/21/2021 - Gray Bear Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 07/01/2021 - 180 Hours Per Month/1 Hour During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-04-29

S66 Uniform Combined State Law Examination

2010-04-29

Other Names

James O'NEal

View on SEC IAPD