James Daniel Longe

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-08-15
WI	RA	APPROVED	2015-01-08

TX RA
APPROVED_RES

Since 2018-08-15
WI RA
APPROVED

Since 2015-01-08

Branch Locations

2775 S. Moorland Road - 3Rd Fl, New Berlin, WI 53151 • 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
Lpl Financial Llc	New Berlin	WI	12/2014	Present

12/2014 → Present

Lpl Financial Llc

New Berlin, WI

Previous Registrations

2014-02-27 → 2014-12-15

Ssn Advisory, Inc.

Brookfield, WI
2012-10-01 → 2014-02-28

J.P. Morgan Securities Llc

Brookfield, WI

New Berlin, WI
2010-07-08 → 2012-10-01

Chase Investment Services Corp.

Brookfield, WI
2010-04-29 → 2010-07-01

M&I Investment Management Corp.

Milwaukee, WI
2007-07-12 → 2010-03-26

M&I Financial Advisors, Inc

Muskego, WI

Mukwonago, WI

Other Businesses

1. 4/11/2018 - Landmark Credit Union - DBA: Landmark Investment Center - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/30/2018 - 160 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-11-06
S63	Uniform Securities Agent State Law Examination	1987-06-10

S65 Uniform Investment Adviser Law Examination

2007-11-06
S63 Uniform Securities Agent State Law Examination

1987-06-10

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews