James Thomas Jones

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

• 02/2008 → Present
  Lpl Financial Llc
  Fountain Valley, CA

Previous Registrations

• 2008-03-03 → 2015-12-31
  Lpl Financial Llc
  Tustin, CA
  Fort Mill, SC
  Irvine, CA
• 2000-02-23 → 2008-12-31
  Triequa Capital Corporation
  Tustin, CA
  Tustin, CA

Other Businesses

1. 10/08/2012 - REAL ESTATE RENTAL - TOW COTTAGE - REAL ESTATE RENTAL - RENTAL PROPERTY IS A SINGLE FAMILY RESIDENCE WITH A GARAGE UNIT WHICH IS ALSO OCCUPIED. NONE OF THE TENANTS ARE CUSTOMERS OR HAVE ANY ACTIVITIES RELATED TO THE SECURITIES INDUSTRY. MY WIFE AND I PURCHASED THE PROPERTY IN JAN 2012 TOGETHER. - TIME SPENT 1% - LAGUNA BEACH, CA 2. 02/29/2016 - IWM Partners - INV REL -9550 Warner Ave., Ste. 300 Fountain Valley, CA 92708 - DBA for LPL Business (entity for LPL business) - START 11/20/16 - 150 HOUR PER MONTH, 100 DURING TRAIDNG - Investment advice, financial planning, retirement planning, life insurance. 3. 3/22/2016: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 06/01/1977 - 4 Hours Per Month During Securities Trading - fixed insurance.

Exams

• S63 Uniform Securities Agent State Law Examination
  1997-08-07