James Clarence Wachendorf

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/1998 → 10/2019
  Nations Financial Group, Inc.
  Cedar Rapids, IA
• 10/2019 → 09/2020
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 10/2019 → 09/2020
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 09/2020 → Present
  Lpl Finanicla Llc
  Iowa City, IA
• 10/2019 → Present
  Greenstate Credit Union
  Iowa City, IA

Previous Registrations

• 2019-10-28 → 2020-10-15
  Cambridge Investment Research Advisors, Inc.
  Iowa City, IA
  Iowa City, IA
• 2004-08-05 → 2019-10-28
  Nations Financial Group, Inc.
  Iowa City, IA

Other Businesses

1)9/30/20- GreenState Wealth Management- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)-100%

Exams

• S63 Uniform Securities Agent State Law Examination
  1980-10-16

Designations

• Certified Financial Planner

Other Names

• Jim Wachendorf