Joseph Leonard Jimenez

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

Authority	Category	Status	Date
MI	RA	APPROVED	2020-12-10
TX	RA	APPROVED	2014-08-25

MI RA
APPROVED

Since 2020-12-10
TX RA
APPROVED

Since 2014-08-25

Branch Locations

Mckinney, TX • 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 No
Termination Yes

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Mckinney	TX	08/2014	Present

08/2014 → Present

Lpl Financial Llc

Mckinney, TX

Previous Registrations

2012-10-01 → 2014-06-24

J.P. Morgan Securities Llc

Dallas, TX

Dallas, TX
2010-07-28 → 2012-10-01

Chase Investment Services Corp.

Dallas, TX

Farmers Branch, TX

Farmers Branch, TX

Little Elm, TX

Dallas, TX

Frisco, TX

Farmers Branch, TX
2008-06-02 → 2010-07-13

Wells Fargo Clearing Services, Llc

Frisco, TX

Other Businesses

1. 2/5/2015 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - TORO WEALTH MANAGEMENT - STARTED 09/10/2014 - INVESTMENT RELATED - 160 HOURS PER MONTH DURING TRADING - PLANO, TX.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-05-31
S63	Uniform Securities Agent State Law Examination	2001-10-11

S66 Uniform Combined State Law Examination

2008-05-31
S63 Uniform Securities Agent State Law Examination

2001-10-11

View on SEC IAPD