John Jay Takacs

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
OH	RA	APPROVED	2023-11-28

OH RA
APPROVED

Since 2023-11-28

Branch Locations

Seven Hills, OH • United States

27865 Clemens Road, Ste 2, Westlake, OH 44145 • 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
The O.N. Equity Sales Company	Cincinnati	OH	03/2005	11/2023
Ohio National Financial Services	Cincinnati	OH	03/2005	11/2023
Lpl Financial Llc	Westlake	OH	11/2023	Present

03/2005 → 11/2023

The O.N. Equity Sales Company

Cincinnati, OH
03/2005 → 11/2023

Ohio National Financial Services

Cincinnati, OH
11/2023 → Present

Lpl Financial Llc

Westlake, OH

Previous Registrations

2005-05-20 → 2023-11-27

On Investment Management Co

Westlake, OH
2004-11-30 → 2005-04-18

Park Avenue Securities Llc

Washington, OH

Other Businesses

1) 11/22/2023 - Maxim Financial Group LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s).

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2008-08-25

S63 Uniform Securities Agent State Law Examination

2008-08-25

Other Names

Jay Takacs

View on SEC IAPD