James W. Isner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James William Isner, who also goes by James W Isner, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2013 - August 27, 2020
LPL FINANCIAL LLC
November 21, 2008 - October 29, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 5, 2007 - March 13, 2008
SIGNATOR FINANCIAL SERVICES, INC.
August 27, 2004 - January 8, 2007
VP DISTRIBUTORS LLC
May 12, 2003 - July 23, 2004
TOUCHSTONE SECURITIES, INC.
August 13, 2001 - November 5, 2002
NYLIFE DISTRIBUTORS LLC
August 13, 2001 - November 21, 2002
NYLIFE SECURITIES LLC
February 7, 2000 - March 13, 2001
SAGE DISTRIBUTORS, INC.
July 1, 1996 - November 17, 1999
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 12, 1992 - July 1, 1996
FINANCIAL HORIZONS SECURITIES CORPORATION
June 14, 1991 - September 24, 1991
WORLD INVEST CORPORATION
October 12, 1990 - June 17, 1991
MUTUAL SERVICE CORPORATION
October 6, 1988 - June 17, 1991
SOUTHEAST BANK BROKERAGE SERVICE, INC.
February 11, 1988 - July 28, 1988
MABON, NUGENT & CO.
May 25, 1983 - October 23, 1986
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/6/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
