Niva WealthLet’s talk

James Mchale

Executive Vice President, Chief Compliance Officer at LPL Financial

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 18 October 2026SEC record

James Mchale is Executive Vice President, Chief Compliance Officer of LPL Financial LLC, a Fort Mill investment adviser managing $819B. James Mchale has a current broker registration and no current investment-adviser registration and has passed the Series 24, SIE and Series 99TO.

Role at LPL Financial

Title on Schedule A
Executive Vice President, Chief Compliance Officer
Control
James Mchale is a control person of LPL Financial.
Ownership
An individual ownership band is not available in the source record.
Tenure
James Mchale has held the filed role since October 2023.

The firm

LPL Financial LLC
Fort Mill, SC

Form ADV filed 21 September 2026

$819B AUM1,986,990 clients36,280 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 24 · 2012

Registrations and exams

Broker registration; no current adviser registration. James Mchale has passed 3 qualifying exams.

Examinations

Series 243 December 2012
Name
General Securities Principal Examination
Series 99TO23 October 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination

Individual record

Full name
James Mchale
CRD
6052977
Firm
LPL Financial LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does James Mchale work?

James Mchale has been Executive Vice President, Chief Compliance Officer of LPL Financial LLC since October 2023, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 21 September 2026

Does James Mchale have a current investment-adviser registration?

James Mchale has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has James Mchale passed?

James Mchale has passed 3 licensing exams: the Series 24, SIE and Series 99TO. The earliest, the Series 24, was passed in December 2012.

Source: IAPD individual record, checked 18 October 2026

Leadership at LPL Financial

Sources

  1. IAPD individual record, CRD 6052977. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of LPL Financial LLC, filed 21 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with James Mchale or LPL Financial LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.