James Maurice Farmer

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
AZ	RA	APPROVED	2019-03-12
IL	RA	APPROVED	2013-10-01
TX	RA	APPROVED	2013-10-01

AZ RA
APPROVED

Since 2019-03-12
IL RA
APPROVED

Since 2013-10-01
TX RA
APPROVED

Since 2013-10-01

Branch Locations

101 Collins Street, Mendon, IL 62351 • United States

3333 Broadway Street, Quincy, IL 62301 • United States

500 S. 24Th Street, Quincy, IL 62301 • United States

1395 Buchanan Street, Carthage, IL 62321 • United States

116 S. Congress St., Rushville, IL 62681 • United States

2201 Wabash Ave., Springfield, IL 62704 • United States

1201 Broadway, Quincy, IL 62301 • 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 Llc	Quincy	IL	10/2013	Present
First Bankers Trust Co.	Quincy	IL	01/2010	Present

10/2013 → Present

Lpl Financial Llc

Quincy, IL
01/2010 → Present

First Bankers Trust Co.

Quincy, IL

Previous Registrations

2007-01-16 → 2013-10-14

Cambridge Investment Research Advisors, Inc.

Quincy, IL
1998-10-05 → 2007-01-17

Mml Investors Services, Llc

Quincy, IL

Quincy, IL

Other Businesses

(1) 10/01/2013: First Investment Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (2) 11/04/2016: Long Term Care Partners, Inc. - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start 10/18/2016 - 1 Hr/Mo; 1 Hour(s) During Securities Trading - LTC (3) 1/9/2019 - 'MassMutual- Indianapolis IN Agency' - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 01/01/2018 - 5 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-11-07
S63	Uniform Securities Agent State Law Examination	1986-05-22

S65 Uniform Investment Adviser Law Examination

1995-11-07
S63 Uniform Securities Agent State Law Examination

1986-05-22

Designations

Chartered Financial Consultant

Other Names

James Maurice Farmer
Jim Farmer

View on SEC IAPD