Janet Lee De Vries

LPl Financial LLC

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Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2026-07-09
CA	RA	APPROVED	2013-01-14
TX	RA	APPROVED	2013-01-10

AZ RA
APPROVED

Since 2026-07-09
CA RA
APPROVED

Since 2013-01-14
TX RA
APPROVED

Since 2013-01-10

Branch Locations

Prescott, AZ • 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

Organization	City	State	From	To
Lpl Financial, Llc	Riverside	CA	01/2013	Present

01/2013 → Present

Lpl Financial, Llc

Riverside, CA

Previous Registrations

2009-10-05 → 2013-01-22

Ameriprise Financial Services, Llc

Los Angeles, CA

Minneapolis, MN

Glendale, CA

Newport Beach, CA
2008-09-19 → 2009-10-05

Ameriprise Advisor Services, Inc.

Irvine, CA
2006-11-06 → 2008-08-19

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ontario, CA
1999-02-26 → 2006-11-14

Ubs Financial Services Inc.

Riverside, CA

Riverside, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1999-02-12
S65	Uniform Investment Adviser Law Examination	1999-02-11

S63 Uniform Securities Agent State Law Examination

1999-02-12
S65 Uniform Investment Adviser Law Examination

1999-02-11

Other Names

Janet L Devries
Janet Lee Kent
Janet L Kuckkan
Janet Lee Devries

View on SEC IAPD

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