JD
James C. Dunn
LPL ENTERPRISE
BERWICK, PA 18603
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CRD#: 4647547
JD
James Clark DunnLPL ENTERPRISE
Professional summary
James Clark Dunn, who also goes by Jim Dunn, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Berwick, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Aliases
Jim Dunn
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. 07/27/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Investment related - Berwick PA - OBA start date: 06/26/2026 - 160 Hrs/Mth - 160 Hrs During Trading 2. 07/27/2026 - James Dunn N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Investment related - Berwick PA - OBA start date: 06/26/2026 - 160 Hrs/Mth - 160 Hrs During Trading 3. 07/27/2026 - RHM / Nexus - Non-Variable Insurance - Investment related - Berwick PA - OBA start date: 06/01/2004 - 10 Hrs/Mth - 10 Hrs During Trading 4. 07/27/2026 - Columbia Montour VoTech - Coach/ Sports/ Fitness - Not Investment related - Bloomsburg PA - OBA start date: 01/01/2014 - 60 Hrs/Mth - 00 Hrs During Trading
CRS (Client Relationship Summary) - RIA
Click below to view James Clark Dunn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Clark Dunn'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 27, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 1214 State Route 93 Suite 1, Berwick, PA 18603RIA
BD
CRD#: 8733
BERWICK, PA
Current
July 27, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 1214 State Route 93 Suite 1, Berwick, PA 18603RIA
BD
CRD#: 8733
BERWICK, PA
Past
May 24, 2018 - July 24, 2026
LINCOLN INVESTMENT
RIA
CRD#: 519
BERWICK, PA
Past
January 3, 2017 - July 24, 2026
LINCOLN INVESTMENT
BD
CRD#: 519
BERWICK, PA
Past
December 5, 2016 - October 1, 2019
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
Berwick, PA
Past
January 29, 2004 - January 3, 2017
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
BERWICK, PA
Past
April 14, 2003 - January 29, 2004
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BOSTON, MA
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
Delaware(7/28/2026)
RR
Florida(7/27/2026)
RR
Indiana(7/27/2026)
RR
Maryland(7/27/2026)
RR
Mississippi(7/28/2026)
RR
New Jersey(7/27/2026)
RR
New York(7/27/2026)
RR
Ohio(7/27/2026)
RR
Pennsylvania(7/27/2026)
IAR
Pennsylvania(7/27/2026)
RR
South Carolina(7/27/2026)
RR
Tennessee(7/28/2026)
RR
Texas(7/28/2026)
IAR
Texas(7/28/2026)
RR
Vermont(7/27/2026)
RR
Virginia(7/27/2026)
RR
West Virginia(7/27/2026)
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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Berwick, PA 18603TRUST BUT VERIFY
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