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RIA / WealthAdvisor22 years in industry

James Edward Buchheit

Advisor at LPL FINANCIAL LLC

Louisville, KY | LOUISVILLE, KY | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:08f6afb9-baad-fdec-cae6-0e3e29dcb893

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 12, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 9, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 9, 2004
First registration: Jan 12, 2004
Dual registered: no
Other names: James Buchheit|JIM BUCHHEIT|JAMES E BUCHHEIT|JAMES EDWARD BUCHHEIT
IAPD individual key: 4724168

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 6, 2024	n/a	yes	Louisville, KY\|SAN DIEGO, CA\|LOUISVILLE, KY	Current employment
Spc	Bd affiliated wealth	Mar 13, 2020	Sep 6, 2024	no	Louisville, KY\|ANN ARBOR, MI	Previous registration
SACHS INVESTMENT GROUP	Former SEC adviser	Apr 29, 2010	Apr 2, 2020	no	LOUISVILLE, KY	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Jun 5, 2007	Dec 16, 2008	no	LOUISVILLE, KY\|LOUISVILLE, KY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 3, 2005	Jun 5, 2007	no	LOUISVILLE, KY\|LOUISVILLE, KY	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 12, 2004	Jun 17, 2005	no	LOUISVILLE, KY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
Spc	LPL FINANCIAL LLC	Sep 6, 2024	Sep 6, 2024	0	Firm change	Ibd to ibd
SACHS INVESTMENT GROUP	Spc	Apr 2, 2020	Mar 13, 2020	-20	Firm change	Other
NATCITY INVESTMENTS, INC.	SACHS INVESTMENT GROUP	Dec 16, 2008	Apr 29, 2010	499	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NATCITY INVESTMENTS, INC.	Jun 5, 2007	Jun 5, 2007	0	Firm change	Other
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 17, 2005	Jun 3, 2005	-14	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
110692:6413:MI:2024-09-06	Sep 6, 2024	Sep 6, 2024	ANN ARBOR, MI	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 6, 2024 to presentfactForm ADV
→ SPCRegistered adviserregistration: previous registration
Mar 13, 2020 to Sep 6, 2024factForm ADV
→ SACHS INVESTMENT GROUPRegistered adviserregistration: previous registration
Apr 29, 2010 to Apr 2, 2020factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Jun 5, 2007 to Dec 16, 2008factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 3, 2005 to Jun 5, 2007factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 12, 2004 to Jun 17, 2005factForm ADV

Dated events

Occurred
Sep 6, 2024
Advisor changed firm
James Edward Buchheit left Spc for Lpl Financial Llc (registered 2024-09-06)
Form ADVobserved 5 days ago