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James W Soong

LPl Enterprise, LLC

Honolulu, HI

Sherman Oaks, CA

CRD 6339837

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Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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 Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2024-11-14
  • HI RA
    APPROVED
    Since 2024-11-14

Branch Locations

Honolulu, HI • United States

15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403 • 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
Colonial Life Colver City CA 03/2012 01/2017
Axa Advisors, Llc New York NY 12/2014 12/2018
Pruco Securities, Llc. Honolulu HI 02/2019 11/2024
Prudential Insurance Company Of America Honolulu HI 02/2019 Present
Colonial Life Honolulu HI 03/2014 12/2016
Lpl Enterprise, Llc Honolulu HI 11/2024 Present
  • 03/2012 → 01/2017
    Colonial Life
    Colver City, CA
  • 12/2014 → 12/2018
    Axa Advisors, Llc
    New York, NY
  • 02/2019 → 11/2024
    Pruco Securities, Llc.
    Honolulu, HI
  • 02/2019 → Present
    Prudential Insurance Company Of America
    Honolulu, HI
  • 03/2014 → 12/2016
    Colonial Life
    Honolulu, HI
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Honolulu, HI
Previous Registrations
Other Businesses

1) 04/08/2025-Tala Secure, Inc-Outside/W-2 Employment-Sales-Not Inv Related-At Mountain View, CA-25hrs/mth-5hrs/mth during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-27
S63 Uniform Securities Agent State Law Examination 2014-12-11
  • S66 Uniform Combined State Law Examination
    2023-12-27
  • S63 Uniform Securities Agent State Law Examination
    2014-12-11
Other Names
  • James W Soong
  • James Warren Soong

View on SEC IAPD

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