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James Thomas Adcock

LPl Financial LLC

Carrolton, TX

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2021-04-21
TX RA APPROVED 2011-12-21
  • GA RA
    APPROVED
    Since 2021-04-21
  • TX RA
    APPROVED
    Since 2011-12-21

Branch Locations

Carrolton, TX • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Lpl Financial Plano TX 11/2011 Present
  • 11/2011 → Present
    Lpl Financial
    Plano, TX
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-11-20
S63 Uniform Securities Agent State Law Examination 1987-10-12
  • S65 Uniform Investment Adviser Law Examination
    2001-11-20
  • S63 Uniform Securities Agent State Law Examination
    1987-10-12
Other Names
  • Tom Adcock

View on SEC IAPD

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