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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-12-27
  • CA RA
    APPROVED
    Since 2018-12-27

Branch Locations

2780 Skypark Dr Ste 201, Torrance, CA 90505 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Questar Capital Corporation Minneapolis MN 09/2014 12/2018
Lpl Financial, Llc Torrance CA 12/2018 Present
  • 09/2014 → 12/2018
    Questar Capital Corporation
    Minneapolis, MN
  • 12/2018 → Present
    Torrance, CA
Previous Registrations
  • 2014-09-16 → 2018-12-26
    Questar Asset Management, Inc.
    Torrance, CA
    Minneapolis, MN
  • 2009-04-17 → 2014-09-17
    Summit Financial Group Inc
    Torrance, CA
  • 2007-05-24 → 2009-04-20
    Torrance, CA
    Fort Mill, SC
    Torrance, CA
  • 1998-06-19 → 2007-05-24
    Transamerica Financial Advisors, Inc.
    Torrance, CA
    Torrance, CA
Other Businesses

1. 7/15/2019 - John Lewis Financial - Investment Related - At Reported Business Location(s) - Other-payroll - Started 01/01/2019 - 4 Hours Per Month/0 Hours During Securities Trading. 2. 7/15/2019 - John Lewis Financial - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Tax Preparer - Started 02/01/2019 - 20 Hours Per Month/1 Hour During Securities Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-07-05
  • S63 Uniform Securities Agent State Law Examination
    1994-07-05
Designations
Other Names
  • Jack Lewis

View on SEC IAPD

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