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

Oct 6, 1980earliest registration or exam on IAPD

Years in industry

45derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Oct 6, 1980

First registration

May 3, 2010

Dual registered

yes, broker-dealer

Other names

Jim Malone|Jimmy Malone

IAPD individual key

847353

• Occurred

  Jul 3, 2023
  Advisor changed firm

  James Russell Malone left Hilltop Securities Inc. for Lpl Financial Llc (registered 2023-06-14)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:a7cc6d04-9a46-02e0-8655-e1fc8fdcc1e9

First observed

May 3, 2010

Last observed

Sep 14, 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.