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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-09-16
  • NJ RA
    APPROVED
    Since 2024-09-16

Branch Locations

665 Us-22 East Unit 202, Whitehouse Station, NJ 08889 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Flemington NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Flemington NJ 11/2016 11/2019
Wells Fargo Advisors Financial Network, Llc Whitehouse Station NJ 11/2019 09/2024
Lpl Financial Llc Whitehouse Station NJ 09/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-07
S63 Uniform Securities Agent State Law Examination 1987-05-28
  • S65 Uniform Investment Adviser Law Examination
    1992-04-07
  • S63 Uniform Securities Agent State Law Examination
    1987-05-28
Designations
Other Names
  • James Alan Lewy
  • James Allen Lewy

View on SEC IAPD

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