James Patrick Leyden

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
KY	RA	APPROVED	2023-12-15
MD	RA	APPROVED	2023-12-15
MI	RA	APPROVED	2023-12-15
SC	RA	APPROVED	2023-12-15
WI	RA	APPROVED	2023-12-15
IL	RA	APPROVED	2021-07-21
NC	RA	APPROVED	2021-07-21
TX	RA	APPROVED_RES	2021-07-21

KY RA
APPROVED

Since 2023-12-15
MD RA
APPROVED

Since 2023-12-15
MI RA
APPROVED

Since 2023-12-15
SC RA
APPROVED

Since 2023-12-15
WI RA
APPROVED

Since 2023-12-15
IL RA
APPROVED

Since 2021-07-21
NC RA
APPROVED

Since 2021-07-21
TX RA
APPROVED_RES

Since 2021-07-21

Branch Locations

Campton Hills, IL • 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

Organization	City	State	From	To
Waddell & Reed, Inc.	St Charles	IL	12/1995	07/2021
Various Insurance Carriers For W&R Insurance Agencies	Elgin	IL	12/1995	07/2021
Joint Impact Llc	Elgin	IL	08/2019	07/2021
Lpl Financial Llc	St Charles	IL	07/2021	Present

12/1995 → 07/2021

Waddell & Reed, Inc.

St Charles, IL
12/1995 → 07/2021

Various Insurance Carriers For W&R Insurance Agencies

Elgin, IL
08/2019 → 07/2021

Joint Impact Llc

Elgin, IL
07/2021 → Present

Lpl Financial Llc

St Charles, IL

Previous Registrations

1998-01-23 → 2021-07-21

Waddell & Reed

Elgin, IL

Elgin, IL

Savage, MN

St Charles, IL

Other Businesses

1- 07/2021 / DBA for LPL Business (entity for LPL business) / Joint Impact Wealth Partners / Investment Related / ST CHARLESIllinois 2- 01/2019 / JOINT IMPACT LLC / Business Entity For Tax/Investment Purposes Only / 160 HR MNTH / Non Investment Related / Elgin, IL 60174

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-07-14
S63	Uniform Securities Agent State Law Examination	1991-10-16

S65 Uniform Investment Adviser Law Examination

1998-07-14
S63 Uniform Securities Agent State Law Examination

1991-10-16

Other Names

Jim Leyden

View on SEC IAPD