James A. Abrego
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 Aaron Abrego was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2022 - October 23, 2025
LPL FINANCIAL LLC
June 27, 2022 - October 23, 2025
LPL FINANCIAL LLC
May 23, 2019 - June 15, 2022
WOODBURY FINANCIAL SERVICES, INC.
May 23, 2019 - June 15, 2022
OSAIC WEALTH, INC.
May 23, 2019 - June 15, 2022
FSC SECURITIES CORPORATION
May 23, 2019 - June 15, 2022
WOODBURY FINANCIAL SERVICES, INC.
May 23, 2019 - June 15, 2022
OSAIC WEALTH, INC.
May 23, 2019 - June 15, 2022
FSC SECURITIES CORPORATION
November 28, 2017 - June 15, 2022
OSAIC SERVICES, INC.
November 15, 2017 - June 15, 2022
OSAIC SERVICES, INC.
January 3, 2011 - June 27, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 27, 2010 - June 27, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 2008 - January 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 7, 2005 - April 9, 2008
CHASE INVESTMENT SERVICES CORP.
May 24, 2005 - April 28, 2006
BANC ONE SECURITIES CORPORATION
July 26, 2000 - June 2, 2003
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
