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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-07-21
FL RA APPROVED 2020-11-24
NJ RA APPROVED 2018-02-14
NM RA APPROVED 2018-02-14
PA RA APPROVED 2018-02-14
VA RA APPROVED 2018-02-14
  • TX RA
    APPROVED
    Since 2022-07-21
  • FL RA
    APPROVED
    Since 2020-11-24
  • NJ RA
    APPROVED
    Since 2018-02-14
  • NM RA
    APPROVED
    Since 2018-02-14
  • PA RA
    APPROVED
    Since 2018-02-14
  • VA RA
    APPROVED
    Since 2018-02-14

Branch Locations

4955 Fairhope Circle, Lakewood Ranch, FL 34211 • 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
Sii Investments, Inc. Bridgewater NJ 02/2016 02/2018
Lpl Financial Llc Bridgewater NJ 02/2018 Present
  • 02/2016 → 02/2018
    Sii Investments, Inc.
    Bridgewater, NJ
  • 02/2018 → Present
    Bridgewater, NJ
Previous Registrations
  • 2016-03-01 → 2018-02-15
    Sii Investments, Inc.
    Bridgewater, NJ
    Bridgewater, NJ
    Appleton, WI
    Appleton, WI
  • 2014-12-23 → 2016-03-15
    Insight Private Advisors, Llc
    Bridgewater, NJ
  • 2009-11-20 → 2014-12-17
    Macro Consulting Group
    Parsippany, NJ
  • 2009-09-09 → 2012-11-13
    Sii Investments, Inc.
    Parsippany, NJ
  • 2002-06-21 → 2009-09-17
    New England Securities
    Princeton, NJ
    Branchburg, NJ
Other Businesses

1. 02/14/2018 - JLM Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 4/19/2018 - Partners Advantage Insurance Services, LLC - Investment Related - 4204 River Walk Parkway, Suite 300, Riverside, CA 92505 - Non-Variable Insurance - Agent - Started 04/17/2018 - 1 Hour Per Month During Securities Trading. 3. 06/27/2019 - Trust Financial Services LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Start Date: 06/14/2019 - 1 Hour Per Month/1 Hour During Securities Trading. 4. 09/19/2022 - ICG Next LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 10/17/2022 - 120 Hours Per Month/6 Hours During Securities Trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-03-23
  • S63 Uniform Securities Agent State Law Examination
    1994-03-23
Designations
Other Names
  • Jay Lamalfa

View on SEC IAPD

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