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James Thomas Carter

LPl Financial LLC

Spokane, WA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2026-03-09
ID RA APPROVED 2025-05-15
  • WA RA
    APPROVED
    Since 2026-03-09
  • ID RA
    APPROVED
    Since 2025-05-15

Branch Locations

9 S Washington St Ste 101, Spokane, WA 99201 • 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
Cuso Financial Services, Lp San Diego CA 05/2023 09/2024
Spokane Teachers Credit Union Post Falls ID 12/2021 05/2023
Winco Foods Spokane WA 05/2010 12/2021
Spokane Teacher Credit Union Post Falls ID 09/2024 Present
Cuso Financial Services, Lp San Diego CA 09/2024 05/2025
Lpl Financial Llc Post Falls ID 05/2025 Present
  • 05/2023 → 09/2024
    Cuso Financial Services, Lp
    San Diego, CA
  • 12/2021 → 05/2023
    Spokane Teachers Credit Union
    Post Falls, ID
  • 05/2010 → 12/2021
    Winco Foods
    Spokane, WA
  • 09/2024 → Present
    Spokane Teacher Credit Union
    Post Falls, ID
  • 09/2024 → 05/2025
    Cuso Financial Services, Lp
    San Diego, CA
  • 05/2025 → Present
    Post Falls, ID
Previous Registrations
  • 2023-12-19 → 2025-05-15
    Cuso Financial Services, L.P.
    Post Falls, ID
Other Businesses

1.04/24/2025; Investment products and services are offered through LPL Financial LLC using the DBA/trade name STCU Invesment Services; Investment Related; at Reported Business Location(s); Start Date 04/24/2025; 160hrs/mth; 160hrs during trading 2.06/05/2025; WinCo Foods; Outside/W-2 Employment; Not Investment Related; Coeur D Alene,ID; Start Date 05/12/2025; 48hrs/mth; 0hrs during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-18
  • S66 Uniform Combined State Law Examination
    2023-12-18

View on SEC IAPD

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