Best Investors Account Sign in

James Boswell

LPl Financial LLC

Fort Mill, SC

Highland Village, TX

Claim This Profile
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2017-01-11
  • SC RA
    APPROVED
    Since 2017-01-11

Branch Locations

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

Highland Village, TX • 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
OrganizationCityStateFromTo
H.D. Vest Investment Services Irving TX 11/2006 11/2016
H.D. Vest Advisory Services Coppell TX 05/2011 11/2016
Lpl Financial Llc Coppell TX 12/2016 Present
  • 11/2006 → 11/2016
    H.D. Vest Investment Services
    Irving, TX
  • 05/2011 → 11/2016
    H.D. Vest Advisory Services
    Coppell, TX
  • 12/2016 → Present
    Lpl Financial Llc
    Coppell, TX
Previous Registrations
  • 2011-05-12 → 2016-11-11
    Avantax Advisory Services
    Irving, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-03-12
S63 Uniform Securities Agent State Law Examination 2006-03-24
  • S65 Uniform Investment Adviser Law Examination
    2008-03-12
  • S63 Uniform Securities Agent State Law Examination
    2006-03-24
Other Names
  • James D Boswell

View on SEC IAPD

Other Firms

STATE FARM INVESTMENT MANAGEMENT CORP.
BELLEAIR WEALTH MANAGEMENT, LLC
WEALTHCARE ADVISORY PARTNERS LLC
INSIGHT SECURITIES, INC.
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
EDWARD JONES
SCHWAB WEALTH ADVISORY, INC.
PFS INVESTMENTS INC.

Other Investors

ALPESH JITENDRA PATEL
Tamrah Jennifer Bordini
MATTHEW N WALLEN
RAMIRO IGNACIO PARES
NILDA MELGAREJO DE BOYRIE
STEVEN Samuel SHANEYFELT
Katie Wineski Riegel
Christopher Wayne McAlister

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mill, SC
BELLEAIR WEALTH MANAGEMENT, LLC · Fort Mill, SC
WEALTHCARE ADVISORY PARTNERS LLC · Fort Mill, SC
INSIGHT SECURITIES, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
EDWARD JONES · FORT MILL, SC

More in Fort Mill, SC

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor