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.

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

Jun 1, 2013earliest registration or exam on IAPD

Years in industry

13derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

May 9, 2020

First registration

Apr 22, 2021

Dual registered

yes, broker-dealer

IAPD individual key

7360806

• Occurred

  Feb 24, 2023
  Advisor changed firm

  James Thomas Ferris left Columbia Management Investment Advisers, Llc for Lpl Financial Llc (registered 2023-03-01)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:73bf4333-d885-403c-92b7-d92a5662afdc

First observed

Apr 22, 2021

Last observed

Sep 15, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.