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JL

James A Lindner

CFP®, ChFC®, CLU®
RETIREMENT STRATEGIES, LTD.
DUBLIN, OH
·CRD# 2278697·34 years experience

Professional Summary

James A Lindner, CFP®, ChFC®, CLU®, who also goes by Jay A. Lindner, is a registered financial advisor currently at RETIREMENT STRATEGIES, LTD. located in Dublin, Ohio and PRIVATE CLIENT SERVICES, LLC located in Dublin, Ohio. 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 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jay A. Lindner

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFP®
Certified Financial Planner
ChFC®
Chartered Financial Consultant
CLU®
Chartered Life Underwriter

Years of Experience

34 years in the financial services industry

Current & Past Employments

RETIREMENT STRATEGIES, LTD.·CRD# 163701
RIA
5060 Parkcenter Ave Suite A, Dublin, OH 43017
July 2, 2012 - Present
PRIVATE CLIENT SERVICES, LLC·CRD# 120222
RIA
BD
5060 Parkcenter Ave Suite A, Dublin, OH 43017
June 14, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS·CRD# 35747
BD
Dublin, OH
July 2, 2012 - July 1, 2021
OSAIC WEALTH, INC.·CRD# 23131
RIA
Dublin, OH
October 21, 2009 - July 6, 2012
SIMPLY MONEY ADVISORS·CRD# 106619
RIA
Dublin, OH
June 24, 2003 - July 3, 2012
OSAIC WEALTH, INC.·CRD# 23131
BD
Dublin, OH
June 10, 2003 - July 6, 2012
OSAIC FA, INC.·CRD# 3978
RIA
Columbus, OH
January 1, 2000 - June 16, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY·CRD# 2580
BD
Fort Wayne, IN
March 2, 1994 - June 16, 2003
OSAIC FA, INC.·CRD# 3978
BD
Fort Wayne, IN
March 2, 1994 - June 16, 2003

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Current Firm

RS
RETIREMENT STRATEGIES, LTD.

RETIREMENT STRATEGIES, LTD.

CRD#: 163701 / SEC#: 801-112738
RIA
Registered Investment Advisory firm - SEC (4/2/2018 Approved)
Ohio
Registered Investment Advisory firm - Ohio (6/27/2018 Terminated)
Texas
Registered Investment Advisory firm - Texas (6/25/2018 Terminated)
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).

Contact Information

Main Address

5060 Parkcenter Ave. Suite A, Dublin, OH 43017

Phone Number

(614) 799-8668

# of Employees

10

SEC notice filing (7 States and Territories)

Registered to provide investment advisory services in 7 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (2/19/2026)

Regulatory Assets Under Management

Total Number of Accounts

1,003

AUM (Assets Under Management)

$272,729,463

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) Retirement Strategies, Ltd. 5060 Parkcenter Ave, Ste A, Dublin, OH 43017. RIA - Registered Investment Advisor-providing investment advisory services through financial planning and investment portfolio management. President & CEO - company oversight, business development, client meetings. 100 hrs/mo; 90 during trading hrs. 2) Airborne Management, LLC. 5653 Stockton Way, Du9blin, OH 43016. Small airplane ownership and rental to local flying club membership. Partner- support plane preparation, marketing and business development to participant flight club members. 5 hrs/mo; 2 during trading hrs. 3) Golowin Legal, LLC. 5060 Parkcenter Ave, Suite A, Dublin, OH 43017. Elder Law Attorney. U1R Networking Group Member & Sub-lease tenant of Retirement Strategies, ltd. Both located at 5060 Parkcenter Ave, St A, Ohio, 43017. 2 hrs/mo during trading hrs. 4) Independent Insurance Agent. 5060 Parkcenter Ave, Suite A, Dublin, OH 43017. Advising and selling insurance-based solutions. Independent Insurance Agent - advising and implementing insurance based financial solutions. 3 hrs/mo; 3 during trading hrs. 5) RS Tax & Accounting, Inc. 5060 Parkcenter Ave, Suite A, Dublin, OH 43017. RS Tax & Accounting provides tax return preparation and business accounting services to individuals and small businesses. Owner & Board Member - passive owner, does not provide tax or accounting advice or services. 2 hrs/mo; 2 during trading hrs. 6) Under 1 Roof Financial Services Networking Group. Networking group that supports each other's business and clients through non-paid referrals. PI is not shared without authorization. Networking Group Member. 4 hrs/mo; 2 during trading hrs. 7) Central Ohio Professional Education Council (COPEC). 5060 Parkcenter Ave, Suite A, Dublin, OH 43017. Provides free education workshops through to the community without marketing of services by industry expert speak volunteers. President & Co-Founder. Board Member providing oversight of organization and outreach. 20 hrs/mo; 15 during trading hrs. 8) Private Client Services (PCS); Private Client Services (PCS), 2225 Lexington Rd. Louisville, KY 40206; Investment Related. Investment Services.; Broker/Advisor. Manage client accounts and recommend appropriate solutions; June 2021; 20 total hours devoted per month; 15 hours devoted per month during securities trading hours. 9) Capital City Young Aviators (CCYA). 5060 Parkcenter Ave, Ste A. CCYA is a 501C3 non profit organization that provides a new and exciting way to engage at risk youth and provide mentorship and hope. Founder and President.

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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".
RS
RETIREMENT STRATEGIES, LTD.

RETIREMENT STRATEGIES, LTD.

CRD#: 163701 / SEC#: 801-112738
RIA
Registered Investment Advisory firm - SEC (4/2/2018 Approved)
Ohio
Registered Investment Advisory firm - Ohio (6/27/2018 Terminated)
Texas
Registered Investment Advisory firm - Texas (6/25/2018 Terminated)
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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(6/14/2021)
RR
Florida
(6/14/2021)
RR
Michigan
(6/14/2021)
IAR
Ohio
(7/2/2012)
RR
Ohio
(6/14/2021)
RR
South Carolina
(6/14/2021)
RR
Tennessee
(6/14/2021)
RR
West Virginia
(1/2/2025)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1992About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1994About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Mar 1994About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view James A Lindner's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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