James Edward Hatton

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
OH	RA	APPROVED	2022-07-11
TX	RA	APPROVED	2022-07-08

OH RA
APPROVED

Since 2022-07-11
TX RA
APPROVED

Since 2022-07-08

Branch Locations

Brecksville, OH • 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

Organization	City	State	From	To
Sii Investments, Inc.	Brecksville	OH	10/2010	02/2018
Lpl Financial, Llc	Brecksville	OH	02/2018	Present
Equitable Advisors Llc	New York	NY	05/2022	06/2022

10/2010 → 02/2018

Sii Investments, Inc.

Brecksville, OH
02/2018 → Present

Lpl Financial, Llc

Brecksville, OH
05/2022 → 06/2022

Equitable Advisors Llc

New York, NY

Previous Registrations

2018-02-14 → 2022-07-05

Lpl Financial Llc

Brecksville, OH
2022-05-24 → 2022-06-10

Equitable Advisors, Llc

Jefferson, OH

Brecksville, OH
2013-07-24 → 2018-02-14

Sii Investments, Inc.

Brecksville, OH

Medina, OH

Appleton, WI

Appleton, WI

Other Businesses

1. 02/14/2018 - TA-CHECK FINANCIAL/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ BRECKSVILLE, OH 2. 09/01/1994 - JEH AGENCY/ INSURANCE AGENCY/ INVESTMENT RELATED/ 0%/ BRECKSVILLE, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-05-16
S63	Uniform Securities Agent State Law Examination	2006-08-30

S65 Uniform Investment Adviser Law Examination

2018-05-16
S63 Uniform Securities Agent State Law Examination

2006-08-30

View on SEC IAPD