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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

JAMES THOMAS BUTO

Advisor at LPL FINANCIAL LLC

ERIE, PA

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Search this name across graphsid dfx:ria:f3820f0f-cbd3-f3b5-6897-ea69ced2e92e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 27, 2002 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: Apr 18, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Apr 18, 1997
First registration: Jun 27, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2864199

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	Oct 30, 2023	n/a	yes	ERIE, PA	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Mar 5, 2013	Nov 3, 2023	no	ERIE, PA	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Jul 21, 2010	Mar 6, 2013	no	ERIE, PA	Previous registration
OBS FINANCIAL	Former SEC adviser	Oct 16, 2008	Jan 12, 2009	no	CONCORD, CA	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Jun 27, 2002	Oct 14, 2008	no	ERIE, PA\|ERIE, PA\|ERIE, PA	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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	LPL FINANCIAL LLC	Nov 3, 2023	Oct 30, 2023	-4	Firm change	Ibd to ibd
COMMONWEALTH FINANCIAL NETWORK	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Mar 6, 2013	Mar 5, 2013	-1	Firm change	Other
OBS FINANCIAL	COMMONWEALTH FINANCIAL NETWORK	Jan 12, 2009	Jul 21, 2010	555	Firm change after gap	Other
UVEST FINANCIAL SERVICES GROUP, INC.	OBS FINANCIAL	Oct 14, 2008	Oct 16, 2008	2	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
134139:6413:PA:2023-11-03	Nov 3, 2023	Oct 30, 2023	ERIE, PA	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 30, 2023 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Mar 5, 2013 to Nov 3, 2023factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Jul 21, 2010 to Mar 6, 2013factForm ADV
→ OBS FINANCIALRegistered adviserregistration: previous registration
Oct 16, 2008 to Jan 12, 2009factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Jun 27, 2002 to Oct 14, 2008factForm ADV

Dated events

Occurred
Nov 3, 2023
Advisor changed firm
James Thomas Buto left Cambridge Investment Research Advisors, Inc. for Lpl Financial Llc (registered 2023-10-30)
Form ADVobserved 6 days ago