James N. Turner

LPL ENTERPRISE

PLANO, TX 75024

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CRD#: 2068968

Professional summary

James Neal Turner, who also goes by J Neal Turner, James N Turner, Neal Turner, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Plano, Texas.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

J Neal Turner | James N Turner | Neal Turner

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) 08/28/2024- Dana Frazier Irrevocable Trust- Act in a Fiduciary Capacity- Not INV Related- At Plano, TX- Start date 12/29/2017- 1 HRS MTH- 0 HRS During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Neal Turner's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Neal Turner'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

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024

RIA

CRD#: 8733

PLANO, TX

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024

RIA

CRD#: 8733

PLANO, TX

Past

June 26, 2020 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Plano, TX

Past

June 26, 2020 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Plano, TX

Past

November 29, 2016 - June 25, 2020

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

Plano, TX

Past

November 23, 2016 - June 25, 2020

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

PLANO, TX

Past

September 10, 2015 - May 10, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PLANO, TX

Past

September 10, 2015 - May 10, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PLANO, TX

Past

April 21, 2014 - August 10, 2015

WESTPARK WEALTH ADVISORS, INC.

RIA

CRD#: 130914

PLANO, TX

Past

April 21, 2014 - August 10, 2015

IMS SECURITIES, INC.

CRD#: 35567

DALLAS, TX

Past

April 29, 2009 - April 22, 2014

WFG ADVISORS, LP

RIA

CRD#: 125073

PLANO, TX

Past

April 29, 2009 - April 22, 2014

WFG INVESTMENTS, INC.

CRD#: 22704

PLANO, TX

Past

November 9, 2007 - May 28, 2009

FORTITUDE ADVISORY GROUP L.L.C.

RIA

CRD#: 116083

GIG HARBOR, WA

Past

October 10, 2007 - May 28, 2009

ARGENTUS SECURITIES, LLC

CRD#: 45915

DALLAS, TX

Past

October 9, 2007 - November 7, 2007

FORTITUDE ADVISORY GROUP L.L.C.

RIA

CRD#: 116083

GIG HARBOR, WA

Past

October 17, 2005 - November 5, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DALLAS, TX

Past

October 17, 2005 - November 5, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

DALLAS, TX

Past

June 24, 2002 - October 20, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN ANTONIO, TX

Past

June 24, 2002 - October 20, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 2, 1998 - July 8, 2002

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

September 27, 1996 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

July 26, 1990 - October 22, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

LPL ENTERPRISE, LLC

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)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Ohio
(11/14/2024)

Oklahoma
(11/14/2024)

Texas
(11/14/2024)

IAR

Texas
(11/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/14/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/16/1993

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/23/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 8/16/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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 N. Turner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Neal Turner's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Neal Turner's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WESTPARK WEALTH ADVISORS, INC.

IMS SECURITIES, INC.

WFG ADVISORS, LP

WFG INVESTMENTS, INC.

FORTITUDE ADVISORY GROUP L.L.C.

ARGENTUS SECURITIES, LLC

FORTITUDE ADVISORY GROUP L.L.C.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

RAUSCHER PIERCE REFSNES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/14/1994

Series 63

Date: 7/30/1990

SIE

Date: 10/1/2018

Series 3

Date: 9/16/1993

Series 7

Date: 7/23/1990

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 8/16/1993

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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