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Executive Vice President, Chief Compliance Officer · LPL Financial LLC

James McHale

CRD 6052977 · Named on Form ADV at one SEC-registered adviser

At a glance

LPL Financial LLC, an SEC-registered broker-dealer firm based in Fort Mill, SC with $819.1 billion in regulatory assets, lists James McHale on its Form ADV as Executive Vice President, Chief Compliance Officer, a control person.

Firms and roles

  • LPL Financial LLCExecutive Vice President, Chief Compliance OfficerBroker-dealer firm · Fort Mill, SC · $819B in regulatory assets

AtlasMembers

James’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (9)

4 more people named with James on the same filings, with titles and firms. Free in Atlas with a free account.

See all 9 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For James’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.