James W. Lloyd

QP WEALTH MANAGEMENT

Boca Raton, FL 33431

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CRD#: 2024256

Professional summary

James Wilk Lloyd, who also goes by Jim Lloyd, is a registered financial advisor currently at QP WEALTH MANAGEMENT, LLC located in Boca Raton, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. James has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 31, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Lloyd

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. QP Wealth Management. Investment Related. 12 Christopher Way, Suite 103, Eatontown, NJ 07724. RIA. CEO. Start 5/2019. 175 hours per month, all during trading. Investment advice, client financial planning. 2. name; Superba investment-related; YES address; 7114 Charlotte Pike Nashville Tn 37209 nature business; Superba is a alternative investment; position; Board Member start date; 2024-12-04 hours/month devoted to business; 1 hours devoted to business during securities trading hours; 0 duties; consult wtih GP and LPA Committee in regards to fund management and observe IC meetings;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Wilk Lloyd's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 22, 2019 - Present

QP WEALTH MANAGEMENT, LLC

Office #1: 2700 Military Trail Suite 240, Boca Raton, FL 33431

RIA

CRD#: 301071

Boca Raton, FL

Past

May 10, 2019 - December 1, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Eatontown, NJ

Past

June 1, 2009 - May 14, 2019

MORGAN STANLEY

RIA

CRD#: 149777

RED BANK, NJ

Past

June 1, 2009 - May 14, 2019

MORGAN STANLEY

CRD#: 149777

RED BANK, NJ

Past

November 8, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SHREWSBURY, NJ

Past

November 8, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SHREWSBURY, NJ

Past

January 6, 2004 - November 6, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RED BANK, NJ

Past

October 1, 2000 - November 6, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RED BANK, NJ

Past

February 26, 1997 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

August 17, 1992 - February 25, 1997

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

Past

January 29, 1990 - November 22, 1991

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QP WEALTH MANAGEMENT, LLC

CGT WEALTH LLC | QP WEALTH MANAGEMENT, LLC

CRD#: 301071 / SEC#: 801-115196

RIA

Registered Investment Advisory firm - (5/1/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(11/22/2021)

IAR

New Jersey
(5/22/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/14/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/8/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/1/2024

General Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 7/1/2024

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/21/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/1/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/26/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/2024

General Securities Principal Examination

Current Firm

QP WEALTH MANAGEMENT, LLC

CGT WEALTH LLC | QP WEALTH MANAGEMENT, LLC

CRD#: 301071 / SEC#: 801-115196

RIA

Registered Investment Advisory firm - (5/1/2019 Approved)

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Contact information

Main Address

2700 N Military Trail Suite 240, Boca Raton, FL 33431

Mailing Address

Phone number

(732) 526-2701

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (7/29/2025)

Regulatory assets under management

Total Number of Accounts	701
AUM (Assets Under Management)	$ 534,534,955

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.

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Advisor Monitoring

Firm Stability Insights

James W. Lloyd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Wilk Lloyd's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

FLEET ENTERPRISES, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

QP WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/14/1997

Series 63

Date: 3/8/1991

Series 7TO

Date: 7/1/2024

Series 99TO

Date: 7/1/2024

SIE

Date: 10/1/2018

Series 31

Date: 4/21/2005

Series 7

Date: 8/1/1994

Series 6

Date: 1/26/1990

Series 24

Date: 7/1/2024

Current Firm

QP WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QP WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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