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James Robert Wallisch

LPl Financial LLC

Pittsburgh, PA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2020-01-30
TX RA APPROVED_RES 2020-01-30
  • PA RA
    APPROVED
    Since 2020-01-30
  • TX RA
    APPROVED_RES
    Since 2020-01-30

Branch Locations

1090 Freeport Road, Ste. 150, Pittsburgh, PA 15238 • 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
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Pittsburgh PA 08/1996 01/2020
Raymond James Financial Services Advisors, Inc Pittsburgh PA 01/2009 01/2020
F C Financial Services Inc. Pittsburgh PA 11/2009 Present
Lpl Financial Llc Pittsburgh PA 01/2020 Present
Previous Registrations
Other Businesses

1) 01/09/2020 - F.C. FINANCIAL SERVICES INC - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 01/2020 - 170 hr/mth 2)01/09/2020 - FOX CHAPEL PRESBYTERIAN CHURCH ENDOWMENT COMMITTEE - Non-Profit Board Member - non-inv rel - Pittsburgh, PA - start: 01/2017 - 1 hr/mth

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-09-04
S63 Uniform Securities Agent State Law Examination 1984-04-17
  • S65 Uniform Investment Adviser Law Examination
    1991-09-04
  • S63 Uniform Securities Agent State Law Examination
    1984-04-17
Other Names
  • Jim Wallisch

View on SEC IAPD

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