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James Byron Nielsen

LPl Financial LLC

Forestburg, TX

CRD 5157939

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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

AuthorityCategoryStatusDate
TX RA APPROVED 2010-11-19
  • TX RA
    APPROVED
    Since 2010-11-19

Branch Locations

Forestburg, TX • 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
Lpl Financial Forestburg TX 11/2010 Present
  • 11/2010 → Present
    Lpl Financial
    Forestburg, TX
Previous Registrations
  • 2007-05-01 → 2010-11-23
    Edward Jones
    Springtown, TX
    St Louis, MO
Other Businesses

1. 11/19/10 - Farm - RAISING CATTLE AND HAY PRODUCTS/ FARM LABOR/ 10% OF TIME/ FORESTBURG, TX- NON INV Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-29
S63 Uniform Securities Agent State Law Examination 2006-07-27
  • S66 Uniform Combined State Law Examination
    2007-04-29
  • S63 Uniform Securities Agent State Law Examination
    2006-07-27
Designations
  • Certified Financial Planner

View on SEC IAPD

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