James Joseph Armstrong

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
NY	RA	APPROVED	2021-08-03
NJ	RA	APPROVED	2008-03-31

NY RA
APPROVED

Since 2021-08-03
NJ RA
APPROVED

Since 2008-03-31

Branch Locations

One Hudson City Centre Ste 103, Hudson, NY 12534 • 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
Lpl Financial	Hudson	NY	03/2008	Present

03/2008 → Present

Lpl Financial

Hudson, NY

Other Businesses

1. 07/13/2023 - Hudson Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 07/13/2023 - 2 Hours Per Month/ 1 Hour During Trading 2. 01/17/2024 - Hudson Financial LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 07/14/2023 - 0 Hours Per Month/ 0 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-01-19
S63	Uniform Securities Agent State Law Examination	1999-01-15

S65 Uniform Investment Adviser Law Examination

1999-01-19
S63 Uniform Securities Agent State Law Examination

1999-01-15

View on SEC IAPD