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JR

James P. Rishe

Some features on this profile are disabled
CRD#: 400111
JR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Peter Rishe JR, who also goes by James Peter Rishe, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1971. James had worked at 17 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, PC, Series 000 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Peter Rishe

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 13, 2019 - April 22, 2021

LPL FINANCIAL LLC

RIA
CRD#: 6413
HOBE SOUND, FL
Past

August 22, 2017 - May 2, 2019

INDEPENDENT FINANCIAL PARTNERS

RIA
CRD#: 125112
Palm Beach Gardens, FL
Past

August 4, 2017 - April 22, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
HOBE SOUND, FL
Past

January 9, 2015 - July 6, 2017

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
PALM BEACH GARDENS, FL
Past

January 7, 2015 - July 6, 2017

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PALM BEACH GARDENS, FL
Past

March 18, 2010 - January 20, 2015

MORGAN STANLEY

RIA
CRD#: 149777
Palm Beach Gardens, FL
Past

March 16, 2010 - January 20, 2015

MORGAN STANLEY

BD
CRD#: 149777
Palm Beach Gardens, FL
Past

November 16, 2006 - March 16, 2010

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
PALM BEACH GARDENS, FL
Past

November 15, 2006 - March 16, 2010

OPPENHEIMER & CO. INC.

BD
CRD#: 249
PALM BEACH GARDENS, FL
Past

June 9, 2005 - December 6, 2006

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
N. PALM BEACH, FL
Past

June 17, 1998 - December 6, 2006

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
N. PALM BEACH, FL
Past

May 16, 1995 - June 8, 1998

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

December 18, 1992 - April 25, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 21, 1990 - December 23, 1992

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 14, 1984 - June 15, 1990

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

October 26, 1978 - November 26, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

March 22, 1976 - October 15, 1978

JSC SECURITIES, INC.

BD
CRD#: 475
Past

October 6, 1975 - April 2, 1976

LOEB RHOADES & CO

BD
CRD#: 1000005
Past

April 21, 1975 - November 10, 1975

EDWARDS & HANLY

BD
CRD#: 6554
Past

June 25, 1973 - May 12, 1975

REYNOLDS SECURITIES, INC.

BD
CRD#: 712
Past

December 14, 1972 - July 6, 1973

DUPONT WALSTON, INCORPORATED

BD
CRD#: 870
Past

March 18, 1971 - December 17, 1972

F I DUPONT GLORE FORGAN & CO

BD
CRD#: 1000001
Past

March 6, 1971 - June 26, 1984

LEHMAN BROTHERS INC.

BD
CRD#: 7506

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 FINANCIAL LLC
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/7/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/29/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
PC
Date: 9/29/1978
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 000
Date: 3/6/1971
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 3/6/1971
Registered Representative Examination

Current Firm

LPL FINANCIAL LLC
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)
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
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

LPLE OMP PROGRAM BROCHURE A12 (10/22/2025)
LPL THIRD PARTY CO-ADVISORY OMP PROGRAM BROCHURE A12-R (10/22/2025)
LPL CUSTOM CO-ADVISORY OMP PROGRAM BROCHURE A12-EQH (10/22/2025)
LPL OMP PROGRAM BROCHURE A12 (10/22/2025)
LPL CUSTOM CO-ADVISORY MWP PROGRAM BROCHURE A11-EQH (9/30/2025)
LPL PWP PROGRAM BROCHURE A9 (9/30/2025)
LPL RETIREMENT PLAN PROGRAMS BROCHURE A15 (9/30/2025)
LPL SAM PROGRAM BROCHURE A7 (9/30/2025)
LPL CUSTOM CO-ADVISORY MS PROGRAM BROCHURE MS302-EQH (9/30/2025)
LPL THIRD PARTY CO-ADVISORY MWP PROGRAM BROCHURE A11-R (9/30/2025)
LPL CUSTOM CO-ADVISORY PWP PROGRAM BROCHURE A9-EQH (9/30/2025)
LPLE MS PROGRAM BROCHURE MS302 (9/30/2025)
LPLE PWP PROGRAM BROCHURE A9 (9/30/2025)
LPLE SAM PROGRAM BROCHURE A7 (9/30/2025)
LPLE MWP PROGRAM BROCHURE A11 (9/30/2025)
LPL MWP PROGRAM BROCHURE A11 (9/30/2025)
LPL THIRD PARTY CO-ADVISORY MAS PROGRAM BROCHURE MS302-R (9/30/2025)
LPL CUSTOM CO-ADVISORY SAM I AND SAM II PROGRAM BROCHURE A7-EQH (9/30/2025)
LPL THIRD PARTY CO-ADVISORY PWP PROGRAM BROCHURE A9-R (9/30/2025)
LPL MS PROGRAM BROCHURE MS302 (9/30/2025)
LPL APP PROGRAM BROCHURE A16 (7/15/2025)
LPLE GUIDED WEALTH PORTFOLIOS (3/31/2025)
GUIDED WEALTH PORTFOLIOS (3/31/2025)
BANK WEALTH PROGRAM (3/31/2025)
LPL FIRM BROCHURE A58 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.MANAGING MEMBER
AUDETTE, MATTHEW JONPRESIDENT AND CHIEF FINANCIAL OFFICER4003349
ENYEDI, MATTHEW KLAUSMANAGING DIRECTOR, NATIONAL SALES4194266
GATES, GREGORYMANAGING DIRECTOR, CHIEF INFORMATION OFFICER7069201
JAMBUSARIA, ANERIMANAGING DIRECTOR LPL SERVICES GROUP7248335
MALFITANO, STEVEN THOMASSVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER3178848
MCHALE, JAMESEXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER6052977
RICKETTS, JUDITH KOHOSKIEEXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER2758924
SIMONICH, BRENT BLAINEXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER3254859
STEINMEIER, RICHARD CCHIEF EXECUTIVE OFFICER AND DIRECTOR5109512

Regulatory assets under management

Total Number of Accounts2,369,378
AUM (Assets Under Management)$ 618,922,975,737

Disclosures

Regulatory Event208
Arbitration58
Bond4

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/25/2025
Cover Page
Report
07/19/2024
Cover Page
Report
11/09/2023
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.

Company Information

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CRD#: 6413

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