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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

LINDA JOYCE JAMES

Advisor at LPL FINANCIAL LLC

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:16700ffd-b7ab-e0be-ef11-6675a2d1e512

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 20, 2005 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: Sep 14, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Sep 14, 1999
First registration: Apr 20, 2005
Dual registered: yes, broker-dealer
Other names: LINDA JOYCE VEEVAERT
IAPD individual key: 3267713

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	Apr 15, 2010	n/a	yes	SAN DIEGO, CA	Current employment
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Aug 20, 2007	Jun 19, 2009	no	SAN DIEGO, CA\|LA JOLLA, CA	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jul 10, 2006	Aug 6, 2007	no	LA JOLLA, CA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Apr 20, 2005	Jun 9, 2006	no	SAN DIEGO, CA	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
U.S. BANCORP ADVISORS, LLC	LPL FINANCIAL LLC	Jun 19, 2009	Apr 15, 2010	300	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	U.S. BANCORP ADVISORS, LLC	Aug 6, 2007	Aug 20, 2007	14	Firm change	Other
STRATEGIC ADVISERS LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jun 9, 2006	Jul 10, 2006	31	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 15, 2010 to presentfactForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 20, 2007 to Jun 19, 2009factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jul 10, 2006 to Aug 6, 2007factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Apr 20, 2005 to Jun 9, 2006factForm ADV

Dated events

No dated event names this entity yet.