James William Garrity

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

• 12/2009 → Present
  Zija (Formerly: Qivana)
  Provo, UT
• 12/2014 → Present
  Lpl Financial, Llc
  St. Petersburg, FL

Previous Registrations

• 2003-12-18 → 2014-12-18
  Charles Schwab & Co., Inc.
  St Petersburg, FL
  St. Petersburg, FL
• 2000-05-08 → 2003-12-04
  Morgan Stanley Dw Inc.
  St. Petersburg, FL

Other Businesses

1. 4/5/2016 - Garrity Financial Planning LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - STARTED 01/19/2016 - 200 Hours Per Month/6 Hours During Securities Trading. 2. 12/10/2018 - Thrive Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/14/2018 - 173 Hours Per Month/162 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2000-08-10

Other Names

• Jim William Garrity