James Joseph Malmstrom

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2022-06-06

NJ RA
APPROVED

Since 2022-06-06

Branch Locations

101 Crawfords Corner Rd Ste 1120, Holmdel, NJ 07733 • 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
Wells Fargo Advisors Llc	Red Bank	NJ	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Red Bank	NJ	11/2016	05/2022
Lpl Financial Llc	Holmdel	NJ	05/2022	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Red Bank, NJ
11/2016 → 05/2022

Wells Fargo Clearing Services, Llc

Red Bank, NJ
05/2022 → Present

Lpl Financial Llc

Holmdel, NJ

Previous Registrations

2007-06-22 → 2022-05-31

Wells Fargo Clearing Services, Llc

Red Bank, NJ

Red Bank, NJ
2006-07-24 → 2007-07-03

Ubs Financial Services Inc.

Edison, NJ

Edison, NJ

Other Businesses

1) 5/2022- BroadFront Capital Management- DBA for LPL Business (entity for LPL business)- inv. related- Holmdel, NJ 2) 5/2022- Gladstone Wealth Partners- DBA for LPL Business (entity for LPL business)- inv. related- Holmdel, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-07-22
S63	Uniform Securities Agent State Law Examination	1986-08-20

S66 Uniform Combined State Law Examination

2006-07-22
S63 Uniform Securities Agent State Law Examination

1986-08-20

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