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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

JAMES MATHEWS BENTLEY

Advisor at LPL FINANCIAL LLC

SEATTLE, WA

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Search this name across graphsid dfx:ria:2c0f8bf8-52af-3a95-f5b1-8f8a1d4e6314

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 5, 2012 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 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 2, 2012
First registration: Mar 5, 2012
Dual registered: yes, broker-dealer
Other names: JIM BENTLEY|JIM BENTLEY
IAPD individual key: 6006362

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	Nov 2, 2022	n/a	yes	SEATTLE, WA	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Oct 23, 2015	Nov 4, 2022	no	SEATTLE, WA	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Jan 24, 2014	Oct 9, 2015	no	SEATTLE, WA\|SEATTLE, WA\|Seattle, WA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Mar 5, 2012	Jan 28, 2014	no	Seattle, WA	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
OSAIC WEALTH, INC.	LPL FINANCIAL LLC	Nov 4, 2022	Nov 2, 2022	-2	Firm change	Ibd to RIA
COMMONWEALTH FINANCIAL NETWORK	OSAIC WEALTH, INC.	Oct 9, 2015	Oct 23, 2015	14	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	COMMONWEALTH FINANCIAL NETWORK	Jan 28, 2014	Jan 24, 2014	-4	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 2, 2022 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Oct 23, 2015 to Nov 4, 2022factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Jan 24, 2014 to Oct 9, 2015factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Mar 5, 2012 to Jan 28, 2014factForm ADV

Dated events

Occurred
Nov 4, 2022
Advisor changed firm
James Mathews Bentley left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2022-11-02)
Form ADVobserved 6 days ago