James Douglas Craig

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2021-01-07
TX	RA	APPROVED_RES	2017-12-12
CT	RA	APPROVED	2004-05-25

FL RA
APPROVED

Since 2021-01-07
TX RA
APPROVED_RES

Since 2017-12-12
CT RA
APPROVED

Since 2004-05-25

Branch Locations

Mystic, CT • United States

Jupiter, FL • 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
Lpl Financial	Marlborough	CT	05/2004	Present

05/2004 → Present

Lpl Financial

Marlborough, CT

Previous Registrations

1998-07-28 → 2004-05-26

Main Street Management Company

Farmington, CT

Other Businesses

1. 5/27/2004 - NO BUSINESS NAME - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - SELLING LONG TERM CARE AND TERM LIFE INSURANCE. 2. 11/20/2011: NO BUSINESS NAME - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - 2% OF TIME SPENT - MARKETING DISABILITY AND HEALTH INSURANCE. 3. 11/20/2012: NO BUSINESS NAME - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - TIME SPENT 2% - MARKETING NON-VARIABLE LIFE INSURANCE AND FIXED ANNUITIES.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-01-30
S65	Uniform Investment Adviser Law Examination	1995-12-27

S63 Uniform Securities Agent State Law Examination

1996-01-30
S65 Uniform Investment Adviser Law Examination

1995-12-27

View on SEC IAPD