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JAMES PATRICK KAPALA
JIM KAPALA
CRD#: 2004109
IA
Investment Adviser
B
Broker Regulated by FINRA
LPL FINANCIAL LLCCRD#: 6413 750 S. WASHINGTON ST.
VALPARAISO, IN 46383
+1
Registration History
199019952000200520102015202020252 FIRMS1989 - 1991 (1 year)2 FIRMS2004 - 2004 (<1 year)2 FIRMS2005 - 2008 (2 years)2 FIRMS2008 - 2021 (12 years)2 FIRMS2021 - Present (4 years)BHARRISDIRECT LLC (CRD# 42159)2002 - 2004 (2 years)BAMERITAS INVESTMENT CORP. (CRD# 14869)1998 - 2002 (3 years)BHARRIS INVESTORLINE INC. (CRD# 6362)2000 - 2002 (1 year)BHARRIS INVESTORLINE (CRD# 6580)2000 - 2000 (<1 year)BHARRIS INVESTORS DIRECT, INC. (CRD# 17664)1998 - 2000 (1 year)BOLD KENT FINANCIAL ADVISORS (CRD# 17039)1997 - 1998 (1 year)BAON SECURITIES CORPORATION (CRD# 4138)1996 - 1997 (1 year)BFORTH FINANCIAL SECURITIES, CO... (CRD# 14363)1991 - 1996 (4 years)IAHARRISDIRECT LLC (CRD# 42159)2000 - 2004 (3 years)
License(s)

State Registrations

B
Illinois

IA
Indiana

IA
Illinois

B
New York

B
Indiana

IA
New York

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
LPL FINANCIAL LLC (CRD#:6413)
750 S. WASHINGTON ST., VALPARAISO, IN 46383
12747 W 143RD STREET, HOMER GLEN, IL 60491
8400 WEST 159TH STREET, ORLAND PARK, IL 60462
10705 BROADWAY, CROWN POINT, IN 46307
901 EAST 47TH STREET, CHICAGO, IL 60615
801 ESSINGTON RD, JOLIET, IL 60435
3500 CALUMET AVENUE, VALPARAISO, IN 46383
405 PENNSYLVANIA, GLEN ELLYN, IL 60137
12534 S. HARLEM AVE, PALOS HEIGHTS, IL 60463
503 NORTH WASHINGTON STREET, NAPERVILLE, IL 60563
101 BURR RIDGE PARKWAY, BURR RIDGE, IL 60527
826 EAST NINTH STREET, LOCKPORT, IL 60441
7701 BROADWAY, MERRIVILLE, IN 46410
50 SOUTH LINCOLN, HINSDALE, IL 60521
151 W 42ND ST, NEW YORK, NY 10036
114 W 1ST ST, HINSDALE, IL 60521
Registered with this firm since 3/24/2021

IA
LPL FINANCIAL LLC (CRD#:6413)
750 S. WASHINGTON ST., VALPARAISO, IN 46383
12747 W 143RD STREET, HOMER GLEN, IL 60491
8400 WEST 159TH STREET, ORLAND PARK, IL 60462
10705 BROADWAY, CROWN POINT, IN 46307
901 EAST 47TH STREET, CHICAGO, IL 60615
801 ESSINGTON RD, JOLIET, IL 60435
3500 CALUMET AVENUE, VALPARAISO, IN 46383
405 PENNSYLVANIA, GLEN ELLYN, IL 60137
12534 S. HARLEM AVE, PALOS HEIGHTS, IL 60463
503 NORTH WASHINGTON STREET, NAPERVILLE, IL 60563
101 BURR RIDGE PARKWAY, BURR RIDGE, IL 60527
826 EAST NINTH STREET, LOCKPORT, IL 60441
7701 BROADWAY, MERRIVILLE, IN 46410
50 SOUTH LINCOLN, HINSDALE, IL 60521
TINLEY PARK, IL
151 W 42ND ST, NEW YORK, NY 10036
114 W 1ST ST, HINSDALE, IL 60521
Registered with this firm since 3/24/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/21/2008 - 03/24/2021 BMO HARRIS FINANCIAL ADVISORS, INC (CRD#:137115) CHICAGO, IL
B
04/21/2008 - 03/24/2021 BMO HARRIS FINANCIAL ADVISORS, INC. (CRD#:137115) CHICAGO, IL
IA
06/14/2005 - 04/18/2008 FIFTH THIRD SECURITIES, INC. (CRD#:628) OAK LAWN, IL
B
05/02/2005 - 04/18/2008 FIFTH THIRD SECURITIES, INC. (CRD#:628) OAK LAWN, IL
IA
09/27/2004 - 12/10/2004 HARRISDIRECT LLC (CRD#:42159) CHICAGO, IL
B
09/27/2004 - 12/10/2004 HARRISDIRECT LLC (CRD#:42159) JERSEY CITY, NJ
B
05/01/2002 - 09/21/2004 HARRISDIRECT LLC (CRD#:42159) JERSEY CITY, NJ
IA
12/11/2000 - 09/21/2004 HARRISDIRECT LLC (CRD#:42159) CHICAGO, IL
B
06/30/1998 - 05/24/2002 AMERITAS INVESTMENT CORP. (CRD#:14869) LINCOLN, NE
B
12/09/2000 - 05/01/2002 HARRIS INVESTORLINE INC. (CRD#:6362) SEATTLE, WA
B
04/15/2000 - 12/09/2000 HARRIS INVESTORLINE (CRD#:6580) CHICAGO, IL
B
06/25/1998 - 04/15/2000 HARRIS INVESTORS DIRECT, INC. (CRD#:17664) CHICAGO, IL
B
06/13/1997 - 06/19/1998 OLD KENT FINANCIAL ADVISORS (CRD#:17039) GRAND RAPIDS, MI
B
05/24/1996 - 05/15/1997 AON SECURITIES CORPORATION (CRD#:4138) CHICAGO, IL
B
10/21/1991 - 04/01/1996 FORTH FINANCIAL SECURITIES, CORPORATION (CRD#:14363) RICHMOND, VA
B
11/22/1989 - 09/13/1991 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
11/22/1989 - 09/13/1991 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

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