James E. Friddell

LPL ENTERPRISE

Wichita, KS 67212

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CRD#: 4788523

Professional summary

James Edward Friddell, CFP®, who also goes by Jim Friddell, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Wichita, Kansas.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Friddell

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. 05/06/2025 - The Opus Group of KC, LLC - DBA for LPL Business (entity for LPL business) - Platte City, MO - INV REL - Start Date 02/18/2019 - 10hrs/mth 2. 05/12/2025 - The Opus Group - DBA for LPL Business (entity for LPL business) - Platte City, MO - INV REL - Start Date 05/05/2025 - 180hrs/mth - 140hrs during trading 3. 07/08/2025 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv related - At reported business location(s)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Friddell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Edward Friddell's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 4425 W Zoo Blvd Suite #3, Wichita, KS 67212Office #2: 6 Westowne Suite 601, Liberty, MO 64068Office #3: 235 Main Street, Platte City, MO 64079

RIA

CRD#: 8733

Wichita, KS

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 4425 W Zoo Blvd Suite #3, Wichita, KS 67212Office #2: 6 Westowne Suite 601, Liberty, MO 64068Office #3: 235 Main Street, Platte City, MO 64079

RIA

CRD#: 8733

Wichita, KS

Past

August 22, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Platte City, MO

Past

August 22, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Platte City, MO

Past

January 20, 2011 - August 23, 2022

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Platte City, MO

Past

January 20, 2011 - August 23, 2022

MML INVESTORS SERVICES, LLC

CRD#: 10409

Platte City, MO

Past

March 16, 2005 - January 21, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

VIRGINIA BEACH, VA

Past

March 2, 2005 - January 21, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

VIRGINIA BEACH, VA

Past

April 21, 2004 - January 18, 2005

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

FORT WORTH, TX

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 ENTERPRISE, LLC

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)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alaska
(11/14/2024)

Arizona
(11/14/2024)

Arkansas
(1/2/2025)

California
(11/14/2024)

Colorado
(11/14/2024)

Connecticut
(11/26/2024)

District of Columbia
(11/14/2024)

Florida
(11/15/2024)

Georgia
(11/14/2024)

Illinois
(11/14/2024)

Indiana
(7/9/2025)

Kansas
(11/14/2024)

Louisiana
(11/14/2024)

Maryland
(11/14/2024)

Michigan
(11/14/2024)

Missouri
(11/14/2024)

IAR

Missouri
(11/14/2024)

Nebraska
(11/14/2024)

New Jersey
(11/14/2024)

New York
(11/14/2024)

North Carolina
(11/14/2024)

Ohio
(11/14/2024)

Oklahoma
(11/14/2024)

Pennsylvania
(11/14/2024)

South Carolina
(11/14/2024)

South Dakota
(11/14/2024)

Tennessee
(11/14/2024)

Texas
(11/14/2024)

IAR

Texas
(11/14/2024)

Virginia
(11/14/2024)

Washington
(11/14/2024)

Wisconsin
(11/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/15/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/23/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/1/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/20/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	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.

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Advisor Monitoring

Firm Stability Insights

James E. Friddell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Friddell's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Edward Friddell's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2005

Series 63

Date: 4/23/2004

SIE

Date: 10/1/2018

Series 7

Date: 3/1/2005

Series 6

Date: 4/20/2004

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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