James Wilson Ulman

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
MD	RA	APPROVED	2025-10-13
TX	RA	APPROVED_RES	2016-01-11

MD RA
APPROVED

Since 2025-10-13
TX RA
APPROVED_RES

Since 2016-01-11

Branch Locations

Towson, MD • United States

Ocean Pines, MD • 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
Lpl Financial, Llc (Formerly: Linsco/Private Ledger)	Towson	MD	05/2006	Present

05/2006 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger)

Towson, MD

Previous Registrations

2001-06-27 → 2006-05-17

Hornor, Townsend & Kent, Llc

Towson, MD

Towson, MD

Other Businesses

1. 4/10/2007 - ULMAN FINANCIAL, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 12/5/2007 - ULMAN FINANCIAL, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 15% - AS PART OF MY FINANCIAL SERVICES BUSINESS I RECOMMEND LIFE, DISABILITY AND LTC INSURANCE USING A VARIETY OF PRODUCTS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-01-08
S63	Uniform Securities Agent State Law Examination	2000-02-02

S65 Uniform Investment Adviser Law Examination

2001-01-08
S63 Uniform Securities Agent State Law Examination

2000-02-02

Other Names

James W Ulman

View on SEC IAPD