James A. Childress
Professional summary
James Allen Childress was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, James had worked at 9 firms, which includes LPL FINANCIAL LLC, HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS, SECURITIES SERVICE NETWORK LLC, HOUSEHOLDER GROUP FINANCIAL ADVISORS LLC, OSAIC SERVICES INC., SUNAMERICA SECURITIES INC., WELLS FARGO INVESTMENTS LLC, MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2016 - June 26, 2020
LPL FINANCIAL LLC
November 7, 2013 - June 26, 2020
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
October 17, 2013 - June 26, 2020
LPL FINANCIAL LLC
June 1, 2011 - October 16, 2013
SECURITIES SERVICE NETWORK, LLC
September 22, 2009 - November 20, 2013
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC
September 17, 2009 - May 31, 2011
SECURITIES SERVICE NETWORK, LLC
October 31, 2005 - May 6, 2009
OSAIC SERVICES, INC.
October 31, 2005 - May 6, 2009
OSAIC SERVICES, INC.
April 26, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
September 10, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
April 8, 2002 - August 13, 2003
WELLS FARGO INVESTMENTS, LLC
May 30, 1997 - April 17, 2002
MORGAN STANLEY DW INC.
April 23, 1980 - June 9, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 1
Date: 4/19/1980
Registered Representative ExaminationSeries 8
Date: 6/25/1985
General Securities Sales Supervisor Examination (Options Module & General Module)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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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 | 214 |
| 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.
