James Francis Maresca

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

• 07/2011 → Present
  Lpl Financial Llc
  Guerneville, CA

Previous Registrations

• 2009-02-02 → 2011-07-29
  Edward Jones
  Guerneville, CA
  St Louis, MO

Other Businesses

(1) 05/16/2012: No Business Name - Author - Not Investment Related - At Reported Business Location(s) - 5% Time Spent - I have authored a book on investing. I will be seeking a commercial publisher for the book. (2) 10/11/2016: Maresca Money Management, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - 16120 Watson Road, Guerneville, CA - Start 08/12/2011 - 100 Hr/Mo; 5 Hour(s) During Securities Trading - LPL Business only, no others have interest, not an insurance agency, not an RIA

Exams

• S66 Uniform Combined State Law Examination
  2009-01-07

Other Names

• Jim Maresca