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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

JAMES PETER YUKA

Advisor at LPL FINANCIAL LLC

POINT PLEASANT, NJ

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Search this name across graphsid dfx:ria:81189435-a40f-9c16-d90d-1635636f04cd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Oct 11, 2004 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: Aug 21, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 21, 2004
First registration: Oct 11, 2004
Dual registered: yes, broker-dealer
Other names: JAMES PETER YUKA|JAMES PETER YUKA
IAPD individual key: 4789431

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 7, 2022	n/a	yes	POINT PLEASANT, NJ	Current employment
ATLAS PRIVATE WEALTH ADVISORS	Independent wealth	Sep 23, 2020	Jul 12, 2022	no	RED BANK, NJ	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	May 23, 2011	Oct 19, 2020	no	Red Bank, NJ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	May 13, 2008	Apr 28, 2011	no	Red Bank, NJ	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	May 9, 2008	Apr 28, 2011	no	SHREWSBURY, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 22, 2007	Apr 3, 2008	no	EATONTOWN, NJ	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 11, 2004	Feb 14, 2007	no	Red Bank, NJ\|EDISON, NJ	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
ATLAS PRIVATE WEALTH ADVISORS	LPL FINANCIAL LLC	Jul 12, 2022	Jul 7, 2022	-5	Firm change	RIA to RIA
CHARLES SCHWAB & CO., INC.	ATLAS PRIVATE WEALTH ADVISORS	Oct 19, 2020	Sep 23, 2020	-26	Firm change	Ibd to RIA
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Apr 28, 2011	May 13, 2008	-1,080	Channel change	Other
TD AMERITRADE, INC.	CHARLES SCHWAB & CO., INC.	Apr 28, 2011	May 23, 2011	25	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Apr 3, 2008	May 9, 2008	36	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 14, 2007	Feb 22, 2007	8	Firm change	Ibd to wirehouse

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 7, 2022 to presentfactForm ADV
→ ATLAS PRIVATE WEALTH ADVISORSRegistered adviserregistration: previous registration
Sep 23, 2020 to Jul 12, 2022factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
May 23, 2011 to Oct 19, 2020factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 9, 2008 to Apr 28, 2011factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
May 13, 2008 to Apr 28, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 22, 2007 to Apr 3, 2008factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 11, 2004 to Feb 14, 2007factForm ADV

Dated events

Occurred
Jul 12, 2022
Advisor changed firm
James Peter Yuka left Atlas Private Wealth Advisors for Lpl Financial Llc (registered 2022-07-07)
Form ADVobserved 6 days ago