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James Joseph Tapia

LPl Financial LLC

Babylon, NY

CRD 3102748

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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

AuthorityCategoryStatusDate
NY RA APPROVED 2026-03-16
TX RA APPROVED 2026-03-16
  • NY RA
    APPROVED
    Since 2026-03-16
  • TX RA
    APPROVED
    Since 2026-03-16

Branch Locations

Babylon, NY • 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
Wells Fargo Advisors Llc New York NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc New York NY 11/2016 03/2026
Lpl Financial Llc Westport CT 03/2026 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-10-04
  • S63 Uniform Securities Agent State Law Examination
    1999-10-04
Other Names
  • James Joseph Tapia
  • Taps Tapia
  • James Tapia

View on SEC IAPD

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