JK
James Kostival
LPL ENTERPRISE | Financial Advisor
JENSEN BEACH, FL
Some features on this profile are disabled
CRD#: 2066745
JK
Professional summary
James Kostival, who also goes by James Edward Kostival, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Jensen Beach, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Edward Kostival
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. 08/05/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Jensen Beach, FL - INV REL - Start Date 08/05/2025 - 160hrs/mth | 160hrs during trading 2. 08/05/2025 - JAMES EDWARD KOSTIVAL N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Jensen Beach, FL - INV REL - Start Date 08/05/2025 - 160hrs/mth | 160hrs during trading
CRS (Client Relationship Summary) - RIA
Click below to view James Kostival's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Kostival's 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®
NoneExperience
Current
October 9, 2025 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
JENSEN BEACH, FL
Current
September 2, 2025 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
JENSEN BEACH, FL
Past
January 4, 2022 - July 18, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
STUART, FL
Past
January 3, 2022 - July 18, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
STUART, FL
Past
June 21, 2013 - January 4, 2022
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
TEQUESTA, FL
Past
June 19, 2013 - January 4, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
TEQUESTA, FL
Past
October 4, 2012 - June 13, 2013
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
PALM BEACH, FL
Past
October 3, 2012 - June 13, 2013
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
PALM BEACH, FL
Past
October 1, 2012 - October 2, 2012
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
FORT PIERCE, FL
Past
October 1, 2012 - October 2, 2012
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
FORT PIERCE, FL
Past
October 9, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
VERO BEACH, FL
Past
August 27, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
VERO BEACH, FL
Past
January 16, 2007 - January 10, 2008
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
RIA
CRD#: 109771
STUART, FL
Past
January 12, 2007 - January 10, 2008
NEWEDGE SECURITIES, LLC
BD
CRD#: 10674
STUART, FL
Past
July 1, 2003 - January 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
STUART, FL
Past
July 1, 2003 - January 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 3, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
STUART, FL
Past
July 26, 1994 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(9/2/2025)
IAR
Florida(10/9/2025)
RR
Michigan(9/2/2025)
RR
Missouri(9/2/2025)
RR
New Jersey(11/3/2025)
RR
Ohio(9/2/2025)
RR
South Carolina(9/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
Company Information
LPL ENTERPRISE, LLC
Financial AdvisorCRD#: 8733Jensen Beach, FLTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
