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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

James Howe

Advisor at LPL FINANCIAL LLC

DENVER, CO | LITTLETON, CO | WHEAT RIDGE, CO | LAKEWOOD, CO | GOLDEN, CO

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Search this name across graphsid dfx:ria:5caea04a-37b6-5fd4-4d08-42ed305bbc92

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 4, 2018 to Sep 15, 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: Oct 1, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Apr 10, 2017
First registration: May 4, 2018
Dual registered: yes, broker-dealer
Other names: JAMES SAUNDERS HOWE|James Howe|James S Howe
IAPD individual key: 6761331

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	Jul 19, 2023	n/a	yes	DENVER, CO\|DENVER, CO\|LAKEWOOD, CO\|LITTLETON, CO\|LAKEWOOD, CO\|GOLDEN, CO\|LITTLETON, CO\|LITTLETON, CO\|WHEAT RIDGE, CO	Current employment
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Apr 14, 2021	Jul 19, 2023	no	LAKEWOOD, CO\|CENTENNIAL, CO\|DENVER, CO\|LAKEWOOD, CO\|LITTLETON, CO	Previous registration
EMPOWER ADVISORY GROUP, LLC	Bd affiliated wealth	Oct 8, 2018	Apr 9, 2021	no	GREENWOOD VILLAGE, CO	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Sep 19, 2018	no	BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	May 4, 2018	Jul 13, 2018	no	GREENWOOD VILLAGE, CO	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
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	LPL FINANCIAL LLC	Jul 19, 2023	Jul 19, 2023	0	Bulk transfer	Ibd to ibd
EMPOWER ADVISORY GROUP, LLC	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Apr 9, 2021	Apr 14, 2021	5	Firm change	Other
FIDELITY PERSONAL AND WORKPLACE ADVISORS	EMPOWER ADVISORY GROUP, LLC	Sep 19, 2018	Oct 8, 2018	19	Firm change	Other
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 19, 2023 to presentfactForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Apr 14, 2021 to Jul 19, 2023factForm ADV
→ EMPOWER ADVISORY GROUP, LLCRegistered adviserregistration: previous registration
Oct 8, 2018 to Apr 9, 2021factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Sep 19, 2018factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
May 4, 2018 to Jul 13, 2018factForm ADV

Dated events

No dated event names this entity yet.