James Joseph Dubina iii
Investment adviser representative at LPL Financial LLC
10 yearsExperience
3 statesRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
10 years in the industry.
- LPL Financial LLCMay 2025 to now
- Cuso Financial Services LPOct 2023 to May 2025
- Cetera Investment Advisers LLCFeb 2019 to Oct 2023
- Cetera Investment Services LLCFeb 2019 to Oct 2023
- Regions BankFeb 2019 to Oct 2023
- TD Ameritrade Investment Management, LLCFeb 2018 to Feb 2019
- TD Ameritrade, Inc.Feb 2018 to Feb 2019
- ScottradeFeb 2016 to Feb 2019
Exams passed
- Series 66 · Uniform Combined State Law2009
State registrations
Registered as an investment adviser representative in 3 states (AR, CA, TX).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5569368
- Firm CRD
- 6413