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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

JAMES PATRICK KAPALA

Advisor at LPL FINANCIAL LLC

NEW YORK, NY | TINLEY PARK, IL | ORLAND PARK, IL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 11, 2000 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: Dec 11, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Dec 11, 1991
First registration: Dec 11, 2000
Dual registered: yes, broker-dealer
Other names: JIM KAPALA
IAPD individual key: 2004109

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	Mar 24, 2021	n/a	yes	ORLAND PARK, IL\|NEW YORK, NY\|TINLEY PARK, IL	Current employment
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Apr 21, 2008	Mar 24, 2021	no	ORLAND PARK, IL\|SUMMIT, IL\|FRANKFORT, IL\|CRETE, IL\|JOLIET, IL\|PLAINFIELD, IL\|HAMMOND, IN\|CARMEL, IN\|CROWN POINT, IN\|MATTESON, IL\|BOLINGBROOK, IL\|EVERGREEN PARK, IL\|LOCKPORT, IL\|HOMER GLEN, IL\|KOKOMO, IN\|NEW LENOX, IL\|PLAINFIELD, IN\|PORTAGE, IN\|JOLIET, IL\|NEW LENOX, IL\|ORLAND PARK, IL\|VALPARAISO, IN\|ORLAND PARK, IL\|MIDLOTHIAN, IL\|OAK LAWN, IL\|FLOSSMOOR, IL\|ROMEOVILLE, IL\|FRANKFORT, IL\|MUNSTER, IN\|VALPARAISO, IN\|CARMEL, IN\|INDIANAPOLIS, IN\|HAMMOND, IN\|NOBLESVILLE, IN\|KOKOMO, IN\|TIPTON, IN\|CHESTERTON, IN\|MARTINSVILLE, IN\|ROMEOVILLE, IL\|SULLIVAN, IN\|MERRIVILLE, IN\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|ORLAND PARK, IL\|FRANKFORT, IL\|CHICAGO, IL\|CHICAGO, IL\|FLOSSMOOR, IL\|FRANKFORT, IL\|NEW LENOX, IL\|VALPARAISO, IN\|CHICAGO, IL\|NORTH RIVERSIDE, IL\|CALUMET CITY, IL\|CHICAGO, IL\|BERWYN, IL\|NEW LENOX, IL\|CRETE, IL\|MATTESON, IL\|MUNSTER, IN\|HAMMOND, IN\|OAK LAWN, IL\|CHICAGO, IL\|ORLAND PARK, IL\|VALPARAISO, IN\|CHICAGO, IL\|CHICAGO, IL\|MIDLOTHIAN, IL\|EVERGREEN PARK, IL\|CHICAGO, IL\|CHICAGO, IL\|HOMER GLEN, IL\|ORLAND PARK, IL\|CROWN POINT, IN\|CHICAGO, IL\|LINCOLNWOOD, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|FRANKFORT, IL\|CHICAGO, IL\|GRIFFITH, IN\|MERRIVILLE, IN\|ST JOHN, IN\|CHICAGO, IL\|MUNSTER, IN\|CALUMET CITY, IL\|MERRIVILLE, IN\|MINOOKA, IL\|DYER, IN\|GLEN ELLYN, IL\|SCHAUMBURG, IL\|HINSDALE, IL\|JOLIET, IL\|ST CHARLES, IL\|CAROL STREAM, IL\|NAPERVILLE, IL\|WESTCHESTER, IL\|NAPERVILLE, IL\|NAPERVILLE, IL\|PLAINFIELD, IL\|PLAINFIELD, IL\|LOCKPORT, IL\|CHICAGO, IL\|LAGRANGE, IL\|SOUTH ELGIN, IL\|BATAVIA, IL\|ROSELLE, IL\|DARIEN, IL\|VILLA PARK, IL\|JOLIET, IL\|BATAVIA, IL\|OAKBROOK TERRACE, IL\|BLOOMINGDALE, IL\|BARTLETT, IL\|HOFFMAN ESTATES, IL\|HOFFMAN ESTATES, IL\|BURR RIDGE, IL\|SCHAUMBURG, IL\|ST CHARLES, IL\|WOOD DALE, IL\|Wood Dale, IL\|ORLAND PARK, IL\|CHICAGO, IL\|CALUMET CITY, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|MERRIVILLE, IN\|VALPARAISO, IN\|VALPARAISO, IN\|CROWN POINT, IN\|HOMER GLEN, IL\|PALOS HEIGHTS, IL	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Jun 14, 2005	Apr 18, 2008	no	STREAMWOOD, IL\|ROLLING MEADOWS, IL\|LAKE ZURICH, IL\|WINFIELD, IL\|WARRENVILLE, IL\|SHOREWOOD, IL\|BATAVIA, IL\|AURORA, IL\|MOOSEHEART, IL\|OAK LAWN, IL\|OAK LAWN, IL	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Sep 27, 2004	Dec 10, 2004	no	CHICAGO, IL	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Dec 11, 2000	Sep 21, 2004	no	CHICAGO, IL	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
BMO HARRIS FINANCIAL ADVISORS, INC	LPL FINANCIAL LLC	Mar 24, 2021	Mar 24, 2021	0	Bulk transfer	Ibd to ibd
FIFTH THIRD SECURITIES, INC.	BMO HARRIS FINANCIAL ADVISORS, INC	Apr 18, 2008	Apr 21, 2008	3	Firm change	Other
E*TRADE CAPITAL MANAGEMENT, LLC	FIFTH THIRD SECURITIES, INC.	Dec 10, 2004	Jun 14, 2005	186	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 24, 2021 to presentfactForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Apr 21, 2008 to Mar 24, 2021factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Jun 14, 2005 to Apr 18, 2008factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 27, 2004 to Dec 10, 2004factForm ADV

Dated events

No dated event names this entity yet.