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Nicole Jolley

LPl Financial LLC

Valencia, CA

CRD 4225505

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-01-06
CA RA APPROVED 2010-09-13
  • TX RA
    APPROVED_RES
    Since 2022-01-06
  • CA RA
    APPROVED
    Since 2010-09-13

Branch Locations

Valencia, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Valencia CA 07/2010 Present
Jolley Financial Group Valencia CA 07/2010 Present
  • 07/2010 → Present
    Lpl Financial
    Valencia, CA
  • 07/2010 → Present
    Jolley Financial Group
    Valencia, CA
Other Businesses

(1) 7/16/2010: DBA ONLY - JOLLEY FINANCIAL GROUP - VALENCIA, CA. (2) 04/06/2015 - REAL ESTATE RENTAL - TIME SPENT 1 HOUR PER MONTH - VALENCIA, CA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-09-10
  • S66 Uniform Combined State Law Examination
    2010-09-10

View on SEC IAPD

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