JD
James L. Defano
LPL ENTERPRISE
DOWNERS GROVE, IL 60515
Some features on this profile are disabled
CRD#: 2691330
JD
Professional summary
James Leo Defano, who also goes by James Defano, James L Defano, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Downers Grove, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. James has worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Defano | James L Defano
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) 11/22/2024 - American Republic Insurance Services - Medicare Sales Broker. I help Client choose the best Medicare option for their needs - Non-Variable Insurance - Inv Related - At Downers Grove, IL - Start Date 11/12/2019 - 5hrs/mth - 2hrs/mth During Trading 2) 10/30/2024 - Official Finders - Coach/ Sports/Fitness - Umpire and Referee young baseball, softball, and basketball games - Coach/ Sports/ Fitness - Non Inv Related - At Downers Grove, IL - Start Date 09/23/2022 - 6hrs/mth - 0hrs/mth During Trading 3) 02/05/2025 - Crump Life Insurance Services - Non-Variable Insurance - I sell fixed life insurance. - INV Related - At Harrisburg, PA - Start Date 08/19/2020 - 20hrs/mth - 20hrs During Trading
CRS (Client Relationship Summary) - RIA
Click below to view James Leo Defano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Leo Defano'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
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1901 Butterfield Road Suite 250, Downers Grove, IL 60515RIA
BD
CRD#: 8733
DOWNERS GROVE, IL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1901 Butterfield Road Suite 250, Downers Grove, IL 60515RIA
BD
CRD#: 8733
DOWNERS GROVE, IL
Past
March 24, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
DOWNERS GROVE, IL
Past
May 7, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
DOWNERS GROVE, IL
Past
October 14, 2015 - June 8, 2016
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
LOCKPORT, IL
Past
September 14, 2015 - June 8, 2016
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
LOCKPORT, IL
Past
November 20, 2012 - August 12, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW LENOX, IL
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
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
Mississippi(7/16/2025)
RR
New York(11/14/2024)
RR
Wisconsin(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/4/2019
General Securities Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
