Best Investors Account Sign in

James Dee Francis

LPl Financial LLC

Missoula, MT

Sandy, UT

Claim This Profile
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MT RA APPROVED 2021-11-16
UT RA APPROVED 2021-11-16
TX RA APPROVED_RES 2021-11-15
  • MT RA
    APPROVED
    Since 2021-11-16
  • UT RA
    APPROVED
    Since 2021-11-16
  • TX RA
    APPROVED_RES
    Since 2021-11-15

Branch Locations

111 N Higgins Ave Ste 428, Missoula, MT 59802 • United States

Sandy, UT • 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
Kms Financial Services, Inc Seattle WA 06/2010 11/2020
Phoenix Financial Missoula MT 06/2011 Present
Securities America, Inc. Missoula MT 11/2020 10/2021
Securities America Advisors, Inc. Missoula MT 11/2020 10/2021
Lpl Financial, Llc Missoula MT 11/2021 Present
  • 06/2010 → 11/2020
    Kms Financial Services, Inc
    Seattle, WA
  • 06/2011 → Present
    Phoenix Financial
    Missoula, MT
  • 11/2020 → 10/2021
    Securities America, Inc.
    Missoula, MT
  • 11/2020 → 10/2021
    Securities America Advisors, Inc.
    Missoula, MT
  • 11/2021 → Present
    Lpl Financial, Llc
    Missoula, MT
Previous Registrations
  • 2020-11-06 → 2021-11-29
    Securities America Advisors, Inc.
    Missoula, MT
  • 2010-11-01 → 2020-11-06
    Kms Financial Services, Inc.
    Missoula, MT
    South Jordan, UT
    Seattle, WA
Other Businesses

1. 05/01/2011 - PHOENIX FINANCIAL/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ MISSOULA, MT

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-10-29
  • S66 Uniform Combined State Law Examination
    2010-10-29

View on SEC IAPD

Other Firms

EDWARD JONES
AMERIPRISE FINANCIAL SERVICES, LLC
BANKERS LIFE ADVISORY SERVICES, INC.
WELLS FARGO CLEARING SERVICES, LLC
VALIC FINANCIAL ADVISORS, INC.
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Other Investors

Holli Wayne Bellaire
DONNA ROSEANN EVISON
JEFFERY WILLIAM EVISON
Susan E Thomas
JARED LEE LOSING
John Blaise Suseland
BRADLEY CARL NORDBERG
JEFFREY DELWYN LARSON

Other Offices

EDWARD JONES · Missoula, MT
AMERIPRISE FINANCIAL SERVICES, LLC · Missoula, MT
BANKERS LIFE ADVISORY SERVICES, INC. · Missoula, MT
AMERIPRISE FINANCIAL SERVICES, LLC · MISSOULA, MT
EDWARD JONES · MISSOULA, MT
WELLS FARGO CLEARING SERVICES, LLC · MISSOULA, MT
VALIC FINANCIAL ADVISORS, INC. · MISSOULA, MT
LASALLE ST. INVESTMENT ADVISORS, L.L.C. · Missoula, MT

More in Missoula, MT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor