James Michael Hallman

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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 Enterprise, Llc

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

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2024-11-14

PA RA
APPROVED

Since 2024-11-14

Branch Locations

2700 Kelly Road Suite 100D, Warrington, PA 18976 • 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
Prudential Insurance Company Of America	Jeffersonville	PA	11/1980	Present
Pruco Securities, Llc.	Jeffersonville	PA	09/1985	11/2024
Lpl Enterprise, Llc	Warrington	PA	11/2024	Present

11/1980 → Present

Prudential Insurance Company Of America

Jeffersonville, PA
09/1985 → 11/2024

Pruco Securities, Llc.

Jeffersonville, PA
11/2024 → Present

Lpl Enterprise, Llc

Warrington, PA

Previous Registrations

2011-09-07 → 2024-11-14

Pruco Securities, Llc.

Jeffersonville, PA

Jeffersonville, PA

Chalfont, PA

Warrington, PA

Jeffersonville, PA

Warrington, PA

Other Businesses

1. 07/08/2025 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv related - At reported business location(s)

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-01-04
S63	Uniform Securities Agent State Law Examination	1986-03-18

S65 Uniform Investment Adviser Law Examination

2002-01-04
S63 Uniform Securities Agent State Law Examination

1986-03-18

View on SEC IAPD