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 4, 1999earliest registration or exam on IAPD

Years in industry

26derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S63

First exam

Oct 4, 1999

First registration

Dec 18, 2012

Dual registered

yes, broker-dealer

Other names

JAMES JOSEPH TAPIA|TAPS TAPIA|JAMES TAPIA

IAPD individual key

3102748

• Occurred

  Mar 20, 2026
  Advisor changed firm

  James Joseph Tapia left Wells Fargo Advisors for Lpl Financial Llc (registered 2026-03-16)

  Form ADVobserved 3 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:f0db6bd0-e8aa-1471-958e-d38c20296eb3

First observed

Dec 18, 2012

Last observed

Sep 14, 2026 5 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.