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James Richard Kontz is a financial advisor professional located in Marshall, MN. They specialize in financial advisory. With over 38 years of experience, they bring deep expertise to every client.
James Richard Kontz - Lpl Enterprise, Llc holds an active professional license (FINRA CRD) for your protection.
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James Richard Kontz operates LPL Enterprise, LLC, a financial advisory firm based in Marshall, Minnesota. With 38 years in the financial services industry, Kontz brings extensive experience to client portfolio management and financial planning. The firm holds a FINRA CRD registration, which indicates regulatory oversight of securities-related activities. Clients working with this firm can expect guidance grounded in decades of market experience and compliance with federal financial industry standards.
A FINRA CRD (Central Registration Depository) registration means James Richard Kontz is registered with the Financial Industry Regulatory Authority, the primary self-regulatory organization for securities brokers and advisors. This registration requires background checks, ongoing compliance training, and adherence to strict ethical and operational standards. The CRD system tracks disciplinary history and qualifications, giving clients a verifiable record of the advisor's regulatory standing and experience in the financial services industry.