James Riggs Eller

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
TX	RA	APPROVED	2022-02-10

TX RA
APPROVED

Since 2022-02-10

Branch Locations

8000 W Interstate 10 Ste 600, San Antonio, TX 78230 • 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
Wells Fargo Advisors Llc	San Antonio	TX	05/2009	11/2016
Wells Fargo Clearing Services, Llc	San Antonio	TX	11/2016	02/2022
Lpl Financial, Llc	San Antonio	TX	02/2022	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

San Antonio, TX
11/2016 → 02/2022

Wells Fargo Clearing Services, Llc

San Antonio, TX
02/2022 → Present

Lpl Financial, Llc

San Antonio, TX

Previous Registrations

2000-10-06 → 2022-02-15

Wells Fargo Clearing Services, Llc

San Antonio, TX

San Antonio, TX

Other Businesses

1) 1/2022 - DBA for LPL Business (entity for LPL business) - Gladstone Wealth Partners - Investment Related - 160 hr/mon - 8 hr/trading - 100% - San Antonio, TX 78230 2) 10/2021 - Real Estate Services - Riggs Realty - Investment Related - 4 hr/mon - 0 hr/trading - 1% - 536 College Blvd, San Antonio, TX 78209

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1986-01-03

S63 Uniform Securities Agent State Law Examination

1986-01-03

View on SEC IAPD