James Charles Mack

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
MI	RA	APPROVED	2025-03-24

MI RA
APPROVED

Since 2025-03-24

Branch Locations

Howell, MI • 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
Ameriprise Financial Services, Inc.	Livonia	MI	10/2009	03/2020
Ameriprise Financial Services, Inc.	Livonia	MI	10/2009	03/2020
Lpl Financial, Llc	Waterford	MI	03/2020	Present

10/2009 → 03/2020

Ameriprise Financial Services, Inc.

Livonia, MI
10/2009 → 03/2020

Ameriprise Financial Services, Inc.

Livonia, MI
03/2020 → Present

Lpl Financial, Llc

Waterford, MI

Previous Registrations

2009-10-05 → 2020-04-02

Ameriprise Financial Services, Llc

Livonia, MI

Bloomfield Hills, MI
2009-06-10 → 2009-10-05

Ameriprise Advisor Services, Inc.

Livonia, MI

Other Businesses

1. 03/27/2020 - GLADSTONE ADVISORS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ WATERFORD, MI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-09-15
S63	Uniform Securities Agent State Law Examination	1982-12-13

S65 Uniform Investment Adviser Law Examination

1999-09-15
S63 Uniform Securities Agent State Law Examination

1982-12-13

View on SEC IAPD