James Stephen Cruise

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → Present
  Lpl Financial (Dba The Virtus Group)
  Providence, RI

Other Businesses

1. 12/08/2014 - THE VIRTUS GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ PROVIDENCE, RI 2. 12/22/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 06/10/2015 - 1 Hours Per Month / 1 Hours During Trading - Fixued annuities, life insurance, long term care insurance, health and disability.

Exams

• S66 Uniform Combined State Law Examination
  2015-03-13

Other Names

• James Cruise