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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)28 years in industry

JAMES ALLEN STEIN

Advisor at LPL FINANCIAL LLC

STATE COLLEGE, PA | MECHANICSBURG, PA | PORT CHARLOTTE, FL

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Search this name across graphsid dfx:ria:6f6e5e5d-c81b-3ee8-3d66-80bac1bc9821

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 15, 2006 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: Aug 8, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S63|S65
First exam: Aug 8, 1998
First registration: Feb 15, 2006
Dual registered: yes, broker-dealer
Other names: JIM STEIN
IAPD individual key: 2522336

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 21, 2021	n/a	yes	PORT CHARLOTTE, FL\|MECHANICSBURG, PA\|STATE COLLEGE, PA	Current employment
WADDELL & REED	Former SEC adviser	Nov 18, 2020	Jul 21, 2021	no	HAMDEN, CT\|HOLLIDAYSBURG, PA	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Dec 16, 2013	Nov 19, 2020	no	HOLLIDAYSBURG, PA\|ROARING SPRING, PA\|TYRONE, PA\|STATE COLLEGE, PA\|ALTOONA, PA\|ALTOONA, PA\|MONROEVILLE, PA\|BELLEFONTE, PA\|STATE COLLEGE, PA\|BELLEFONTE, PA\|STATE COLLEGE, PA\|BETHEL PARK, PA\|STATE COLLEGE, PA\|BURNHAM, PA\|BELLEFONTE, PA\|MONROEVILLE, PA\|STATE COLLEGE, PA\|MIDDLETOWN, PA\|MONROEVILLE, PA\|STATE COLLEGE, PA\|STATE COLLEGE, PA	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jan 14, 2008	Dec 16, 2013	no	HUNTINGDON, PA\|BELLEFONTE, PA\|STATE COLLEGE, PA\|STATE COLLEGE, PA\|BELLEFONTE, PA\|WILLIAMSPORT, PA\|WILLIAMSPORT, PA\|STATE COLLEGE, PA\|STATE COLLEGE, PA\|STATE COLLEGE, PA\|STATE COLLEGE, PA	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Feb 15, 2006	Jan 8, 2008	no	INDIANA, PA\|HOLLIDAYSBURG, PA\|HOLLIDAYSBURG, PA	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
WADDELL & REED	LPL FINANCIAL LLC	Jul 21, 2021	Jul 21, 2021	0	Bulk transfer	Ibd to ibd
CITIZENS SECURITIES, INC.	WADDELL & REED	Nov 19, 2020	Nov 18, 2020	-1	Firm change	Ibd to ibd
PNC WEALTH MANAGEMENT	CITIZENS SECURITIES, INC.	Dec 16, 2013	Dec 16, 2013	0	Firm change	Other
UVEST FINANCIAL SERVICES GROUP, INC.	PNC WEALTH MANAGEMENT	Jan 8, 2008	Jan 14, 2008	6	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 21, 2021 to presentfactForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Nov 18, 2020 to Jul 21, 2021factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Dec 16, 2013 to Nov 19, 2020factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 14, 2008 to Dec 16, 2013factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Feb 15, 2006 to Jan 8, 2008factForm ADV

Dated events

No dated event names this entity yet.