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James Christopher Sims

LPl Financial LLC

Duluth, GA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2024-06-20
  • GA RA
    APPROVED
    Since 2024-06-20

Branch Locations

6705 Sugarloaf Pkwy, Duluth, GA 30097 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Plantation FL 03/2010 08/2018
Pruco Securities, Llc. Myrtle Beach SC 07/2019 12/2019
Unemployed North Myrtle Beach SC 08/2018 07/2019
Raymond James Financial Services, Inc. Watkinsville GA 01/2020 04/2024
Raymond James Financial Services Advisors, Inc. Watkinsville GA 01/2020 04/2024
Bed, Bath And Beyond Pendergrass GA 02/2020 12/2020
Bell Bells Brazilian Pendergrass GA 03/2021 01/2023
Lpl Financial Llc Duluth GA 06/2024 Present
Georgia United Credit Union Duluth GA 06/2024 Present
  • 03/2010 → 08/2018
    Plantation, FL
  • 07/2019 → 12/2019
    Myrtle Beach, SC
  • 08/2018 → 07/2019
    Unemployed
    North Myrtle Beach, SC
  • 01/2020 → 04/2024
    Raymond James Financial Services, Inc.
    Watkinsville, GA
  • 01/2020 → 04/2024
    Watkinsville, GA
  • 02/2020 → 12/2020
    Bed, Bath And Beyond
    Pendergrass, GA
  • 03/2021 → 01/2023
    Bell Bells Brazilian
    Pendergrass, GA
  • 06/2024 → Present
    Duluth, GA
  • 06/2024 → Present
    Georgia United Credit Union
    Duluth, GA
Previous Registrations
Other Businesses

1) 05/31/2024 - Georgia United Retirement & Investment Services - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-17
S63 Uniform Securities Agent State Law Examination 2007-04-04
  • S66 Uniform Combined State Law Examination
    2008-10-17
  • S63 Uniform Securities Agent State Law Examination
    2007-04-04
Other Names
  • Chris Sims
  • James Christopher Sims
  • James C Sims

View on SEC IAPD

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