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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

JAMES WILLIAM IGO

Advisor at LPL FINANCIAL LLC

YORK, PA | HARRISBURG, PA

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Search this name across graphsid dfx:ria:75268440-06e3-8985-6faf-d3e7ed2e1ede

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 24, 2002 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: Sep 5, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Sep 5, 1990
First registration: Jan 24, 2002
Dual registered: yes, broker-dealer
Other names: JIM IGO
IAPD individual key: 2088854

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	Sep 21, 2023	n/a	yes	HARRISBURG, PA\|YORK, PA	Current employment
MORGAN STANLEY	Wirehouse	Nov 14, 2011	Sep 25, 2023	no	York, PA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 5, 2006	Nov 14, 2011	no	MOUNT JOY, PA\|ELIZABETHTOWN, PA\|WYOMISSING, PA\|ELIZABETHTOWN, PA\|WYOMISSING, PA\|MOUNT JOY, PA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 24, 2002	Nov 6, 2003	no	YORK, PA\|YORK, 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
MORGAN STANLEY	LPL FINANCIAL LLC	Sep 25, 2023	Sep 21, 2023	-4	Firm change	Wirehouse to ibd
WELLS FARGO ADVISORS	MORGAN STANLEY	Nov 14, 2011	Nov 14, 2011	0	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Nov 6, 2003	May 5, 2006	911	Firm change after gap	Wirehouse to wirehouse

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 21, 2023 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Nov 14, 2011 to Sep 25, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 5, 2006 to Nov 14, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 24, 2002 to Nov 6, 2003factForm ADV

Dated events

Occurred
Sep 25, 2023
Advisor changed firm
James William Igo left Morgan Stanley for Lpl Financial Llc (registered 2023-09-21)
Form ADVobserved 5 days ago