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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-04-05
TX RA APPROVED 2022-04-05
  • CA RA
    APPROVED
    Since 2022-04-05
  • TX RA
    APPROVED
    Since 2022-04-05

Branch Locations

2452 Lakewest Dr, Chico, CA 95928 • United States

Los Molinos, 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
Jpmorgan Chase Bank Red Bluff CA 11/2015 12/2017
Jp Morgan Securities, Llc Redding CA 12/2017 07/2018
Jpmorgan Securities Llc Chico CA 07/2018 03/2022
Lpl Financial Llc Chico CA 04/2022 Present
  • 11/2015 → 12/2017
    Jpmorgan Chase Bank
    Red Bluff, CA
  • 12/2017 → 07/2018
    Redding, CA
  • 07/2018 → 03/2022
    Jpmorgan Securities Llc
    Chico, CA
  • 04/2022 → Present
    Chico, CA
Previous Registrations
  • 2018-01-29 → 2022-04-06
    Redding,, CA
    Red Bluff, CA
    Red Bluff, CA
    Redding, CA
    Red Bluff, CA
    Chico, CA
    Chico, CA
    Paradise, CA
    Red Bluff, CA
    Red Bluff, CA
Other Businesses

1) 2022-04-05 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - AMG Chico - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2022-04-05 - hrs/mth - hrs/mth during trading 2) 2026-01-02 - JS Asset Stewardship, INC. - Business Entity For Tax/Investment Purposes Only - N - at reported business location(s) - 2025-12-26 - 160hrs/mth - 136hrs/mth during trading 3) 2026-01-02 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - JS Asset Stewardship, INC. - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2025-12-26 - 160hrs/mth - 136hrs/mth during trading 4) 2026-04-02 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Asset Management Group - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2026-03-31 - 160hrs/mth - 160hrs/mth during trading 5) 2026-05-06 - Jake Stephens - Real Estate Rental - Y - Los Molinos CA - 2026-05-05 - 1hrs/mth - 0hrs/mth during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-01-23
S63 Uniform Securities Agent State Law Examination 2012-10-25
  • S66 Uniform Combined State Law Examination
    2018-01-23
  • S63 Uniform Securities Agent State Law Examination
    2012-10-25
Other Names
  • Jake Robert Stephens

View on SEC IAPD

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