James E. Famula
LPL ENTERPRISE | Financial Advisor
BASKING RIDGE, NJ 07920
Some features on this profile are disabled
CRD#: 4346790
Professional summary
James Edward Famula, who also goes by James E Famula, James Famula, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Basking Ridge, New Jersey.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Business Retirement Plans
Small Business
Retirement Planning Strategies
Are you a "fiduciary"?
Yes
Aliases
James E Famula | James Famula
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. 07/14/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - basking ridge, NJ - Start Date 07/14/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 07/14/2025 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - basking ridge, NJ - Start Date 07/14/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 3. 07/14/2025 - famulagolfacademy.com - Other - NOT INV REL - Basking Ridge, NJ - Start Date 07/11/2025 - 25 HRS/MO | 0 HRS/MO DURING TRADING
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Famula's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Edward Famula'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
July 29, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920RIA
BD
CRD#: 8733
BASKING RIDGE, NJ
Current
July 25, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920RIA
BD
CRD#: 8733
BASKING RIDGE, NJ
Past
June 17, 2020 - August 11, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
West Orange, NJ
Past
June 17, 2020 - August 11, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
West Orange, NJ
Past
December 18, 2018 - June 19, 2020
OSAIC WEALTH, INC.
RIA
CRD#: 23131
WEST ORANGE, NJ
Past
September 7, 2016 - June 19, 2020
OSAIC WEALTH, INC.
BD
CRD#: 23131
WEST ORANGE, NJ
Past
November 11, 2010 - August 29, 2016
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Bernardsville, NJ
Past
March 4, 2005 - November 1, 2010
OSAIC WEALTH, INC.
BD
CRD#: 23131
WEST ORANGE, NJ
Past
August 27, 2004 - February 24, 2005
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
October 4, 2002 - August 23, 2004
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 5, 2002 - October 10, 2002
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PRINCETON, NJ
Past
May 15, 2001 - October 10, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Colorado(8/4/2025)
RR
Florida(8/4/2025)
RR
New Jersey(7/25/2025)
IAR
New Jersey(7/29/2025)
RR
Pennsylvania(7/25/2025)
RR
South Carolina(7/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General 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)
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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)
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.
Company Information
LPL ENTERPRISE, LLC
Financial AdvisorCRD#: 8733Basking Ridge, NJ 07920TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
