James H Van Wert

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

• 04/1991 → 05/2022
  Cuna Mutual Group
  Waverly, IA
• 10/1993 → 05/2022
  Cuna Brokerage Services, Inc.
  Waverly, IA
• 05/2022 → Present
  Lpl Financial Llc
  Kingston, PA

Previous Registrations

• 2005-10-20 → 2022-05-18
  Cuna Brokerage Services, Inc.
  Wilkes Barre, PA
  Wilkes-Barre, PA
  Wilkes-Barre, PA
  Wilkes Barre, PA
  Kingston, PA
  Duryea, PA
  Pittston, PA
  Wyoming, PA
  Wilkes Barre, PA
  Scranton, PA

Other Businesses

1. 05-18-2022-MEMBERS Financial Services-Investment Related- AT Reported Business Location(s)- DBA for LPL Business (entity for LPL business) 2. 06/11/2024 - PenFed Wealth Management - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 5/1/2024 - 60 Hrs/Mo During Trading. 3. 07/17/2024 - Dover Federal Investment and Retirement Center - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/17/2023 - 25 Hours Per Month/ During Trading

Exams

• S66 Uniform Combined State Law Examination
  2005-10-19
• S63 Uniform Securities Agent State Law Examination
  1987-04-24

Other Names

• James Henry Vanwert