William Jeffrey

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
TX	RA	APPROVED	2021-07-08
MI	RA	APPROVED	2010-10-20

TX RA
APPROVED

Since 2021-07-08
MI RA
APPROVED

Since 2010-10-20

Branch Locations

1301 W. Long Lake Rd, Ste 105, Troy, MI 48098 • 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Bloomfield Hills	MI	02/1995	Present

02/1995 → Present

Lpl Financial Llc

Bloomfield Hills, MI

Other Businesses

1. 12/19/2002: JEFFREY FINANCIAL SERVICES, INC. - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE DBA - INS TYPES: FIXED INSURANCE, ANNUITIES, LTC AND HEALTH INSURANCE 2. 06/13/2003: JEFFREY FINANCIAL SERVICES - BUSINESS ENTITY FOR ACCOUNTING PURPOSES 3. 03/13/2008: WILLIAM JEFFREY & ASSOCIATES - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE DBA: WILLIAM JEFFREY & ASSOCIATES - 5% OF TIME SPENT - MANAGEMENT ROLE REGARDING PROPERTY/CASUALTY AND TAX PREPARATION - INS TYPES: LIFE, HEALTH, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES, PROPERTY & CASUALTIES 4. 04/20/2015: WILLIAM JEFFREY & ASSOCIATES - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSIENSS LOCATION(S) - START 01/01/2009 - 160 HR/MO ALL DURING SECS TRDG HRS 5. 02/23/2017: Notary Public - Not Investment Related - At Reported Business Location(s) - Other-Notary - Started 01/01/2017 - 1 Hour Per Month/0 Hours During Securities Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-10-08
S63	Uniform Securities Agent State Law Examination	1987-08-06

S65 Uniform Investment Adviser Law Examination

2010-10-08
S63 Uniform Securities Agent State Law Examination

1987-08-06

Other Names

Jr William Jeffrey

View on SEC IAPD