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JAMES FRANCIS ATEN JR
JIM F. ATEN
CRD#: 1686947
IA
Investment Adviser
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Broker
LPL FINANCIAL LLCCRD#: 6413 252 SUNBURY ST.
MINERSVILLE, PA 17954
Registration History
2008201020122014201620182020202220242 FIRMS2016 - 2017 (<1 year)2 FIRMS2018 - 2020 (1 year)2 FIRMS2020 - Present (4 years)IACOASTAL INVESTMENT ADVISORS (CRD# 134952)2013 - 2014 (<1 year)IAWEIK INVESTMENT SERVICES, INC (CRD# 107068)2011 - 2012 (1 year)IAATEN ASSET MANAGEMENT, INC (CRD# 142439)2007 - 2007 (<1 year)
License(s)

State Registrations

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Pennsylvania 4/23/2020

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South Carolina 11/1/2024

IA
Pennsylvania 4/23/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
252 SUNBURY ST., MINERSVILLE, PA 17954
Registered with this firm since 4/23/2020

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LPL FINANCIAL LLC (CRD#:6413)
252 SUNBURY ST., MINERSVILLE, PA 17954
Registered with this firm since 4/23/2020

Previous Registration(s)
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IA
03/09/2018 - 01/28/2020 INFINEX INVESTMENTS, INC. (CRD#:35371) JONESTOWN, PA
B
03/09/2018 - 01/28/2020 INFINEX INVESTMENTS, INC. (CRD#:35371) JONESTOWN, PA
IA
08/31/2016 - 08/15/2017 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) LANCASTER, PA
B
11/09/2016 - 08/15/2017 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) LANCASTER, PA
IA
07/18/2013 - 04/22/2014 COASTAL INVESTMENT ADVISORS (CRD#:134952) WILMINGTON, DE
IA
04/28/2011 - 07/23/2012 WEIK INVESTMENT SERVICES, INC (CRD#:107068) WYOMISSING, PA
IA
05/11/2007 - 09/19/2007 ATEN ASSET MANAGEMENT, INC (CRD#:142439) LANCASTER, PA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.