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

Dec 29, 2009earliest registration or exam on IAPD

Years in industry

16derivedfrom the industry start date

Years at current firm

4derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S65|S63|S66

First exam

Dec 29, 2009

First registration

Dec 23, 2013

Dual registered

yes, broker-dealer

Other names

Jim Chase

IAPD individual key

5718801

Graph

RIA / Wealth Management

Canonical id

dfx:ria:db8c76ff-17d4-5c19-dabb-f492ea50a9d7

First observed

Dec 23, 2013

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.