James Bernard Pierik

Employer firm

Stratos Wealth Partners, Ltd CRD 153184

$18.6B regulatory AUM 376 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/1993 → Present
  Lpl Financial, Llc
  San Diego, CA
• 01/2013 → Present
  Stratos Wealth Partners, Ltd.
  San Diego, CA
• 12/1997 → Present
  Lpl Financial, Llc
  San Diego, CA

Previous Registrations

• 2005-10-03 → 2014-01-27
  Financial Planning Consultants
  San Diego, CA

Other Businesses

1. 9/30/1996: NON-VARIABLE INSURANCE - INSURANCE SALES - APPROVED 10/8/96 - SAN DIEGO, CA. 2. 2/7/2013: NON-VARIABLE INSURANCE - STRATOS - LICENSED INSURANCE AGENT CONDUCTING SALES AND SERVICES OF FIXED INSURANCE PRODUCTS, INCLUDING FIXED ANNUITIES, TERM INSURANCE, UL, LTC, DI AND HEALTH INSURANCE (USING VARIOUS COMPANIES). - TIME SPENT 5% - SAN DIEGO, CA. 3. 2/7/2013 - Stratos Wealth Partners, LTD - DBA: Stratos Wealth Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 1/2013 - Time Spent 5% - I provide investment advisory services through Stratos Wealth Partners LTD, an independent investment advisor firm. I started this business activity in 1/2013. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 2/8/2013: DBA ONLY - STRATOS WEALTH PARTNERS - USING STRATOS WEALTH PARTNERS LTD AS A DBA NAME FOR MY SECURITIES AND INVESTMENT ADVISORY AND FINANCIAL PLANNING BUSINESS. - TIME SPENT 90% - SAN DIEGO, CA. 5. 5/23/2013: DBA ONLY - JSMD WEALTH MANAGEMENT - SAN DIEGO, CA. 6. 9/30/2021 - Pierik Enterprises, Inc - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 09/10/2018 - 1 Hour Per Month During Securities Trading. 7. 04/26/2022 - PTM Financial, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date - 04/01/2022 - 10 Hours Per Month/ 0 Hours During Securities Trading. 8. 01/06/2023 - PTM Financial, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/26/2022 - 160 Hours Per Month/160 Hours During Securities Trading. 9. 05/03/2024 - PTM Financial, LLC - Inv. Related - DBA: (Hybrid) PTM Financial - Registered Investment Advisor DBA - 12348 High Bluff Dr #240 San Diego CA 92130 - 04/04/2022 - 80hrs/40mths 10. 04/10/2025 - PTM Financial - Powered by Stratos - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start date: 01/01/2024 - PTM Financial - Powered by Stratos - 160 Hrs/Mth - 8 Hrs During Trading. 11. 03/2013 - LPL Financial, LLC (Registered Representative) - Investment Related - At Reported Business Location (s) - 100% time spent between LPL Financial, LLC and Stratos Wealth Partners, Ltd.

Exams

• S63 Uniform Securities Agent State Law Examination
  1989-07-10

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• James B Pierik