James Michael Sadek

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2014 → 05/2023
  Spc
  Ann Arbor, MI
• 03/2014 → 05/2023
  Sigma Financial Corporation
  Ann Arbor, MI
• 03/2014 → 05/2023
  Upstream Investment Partners
  Austin, TX
• 05/2023 → Present
  Lpl Financial Llc
  Austin, TX

Previous Registrations

• 2017-05-05 → 2023-05-15
  Spc
  Austin, TX
  Ann Arbor, MI
• 2014-03-06 → 2015-12-31
  Spc
  Austin, TX
  Ann Arbor, MI
• 2011-11-22 → 2014-03-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Lakeway, TX
  Austin, TX
  Austin, TX
  Austin, TX
  Bee Cave, TX
  Austin, TX
• 2010-06-21 → 2012-01-19
  Swbc Investment Company
  San Antonio, TX
• 2009-10-05 → 2009-10-21
  Ameriprise Financial Services, Llc
  Austin, TX
• 2006-09-11 → 2009-10-05
  Ameriprise Advisor Services, Inc.
  Austin, TX
  Houston, TX

Other Businesses

04/2023 - Upstream Investment Partners - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)

Exams

• S66 Uniform Combined State Law Examination
  2006-09-08

Other Names

• James Michael Sadek
• James M Sadek