James N. Pritchard
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 N Pritchard, who also goes by James Pritchard, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 15 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2022 - February 15, 2024
LPL FINANCIAL LLC
October 18, 2022 - February 15, 2024
LPL FINANCIAL LLC
April 16, 2018 - April 1, 2021
MORGAN STANLEY
April 16, 2018 - April 1, 2021
MORGAN STANLEY
October 29, 2013 - April 16, 2018
INDEPENDENT FINANCIAL PARTNERS
October 25, 2013 - April 5, 2018
LPL FINANCIAL LLC
February 8, 2012 - December 14, 2012
SAXONY CAPITAL MANAGEMENT, LLC
December 23, 2011 - December 14, 2012
PATRICK CAPITAL MARKETS, LLC
July 2, 2009 - June 22, 2010
KELLEHER FINANCIAL ADVISORS, LLC
June 19, 2009 - June 22, 2010
WALL STREET ACCESS
May 16, 2008 - June 19, 2009
FDX CAPITAL LLC
June 20, 2006 - February 11, 2008
MIDCHESTER CAPITAL LLC
July 1, 2003 - February 25, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 27, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 21, 1996 - February 28, 1997
CHASE INVESTMENT SERVICES CORP.
September 11, 1995 - August 21, 1996
FISERV INVESTOR SERVICES, INC.
October 26, 1989 - September 26, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 1988 - June 20, 1989
PRUDENTIAL EQUITY GROUP, LLC
September 22, 1987 - November 16, 1987
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP 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 7TO
Date: 7/18/2022
General Securities Representative ExaminationCurrent 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.
