Jerry L. Travers
Professional summary
Jerry Lee Travers JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jerry is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Jerry had worked at 7 firms, which includes LPL FINANCIAL LLC, MORGAN KEEGAN & COMPANY LLC, RBC CAPITAL MARKETS LLC, DAIN RAUSCHER INCORPORATED, RAUSCHER PIERCE REFSNES INC., PRINCIPAL FINANCIAL SECURITIESINC., MERIT SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2012 - January 6, 2017
LPL FINANCIAL LLC
August 24, 2012 - January 6, 2017
LPL FINANCIAL LLC
December 15, 2004 - August 29, 2012
MORGAN KEEGAN & COMPANY, LLC
December 6, 2004 - August 29, 2012
MORGAN KEEGAN & COMPANY, LLC
March 11, 2002 - December 14, 2004
RBC CAPITAL MARKETS, LLC
March 2, 1998 - December 14, 2004
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
February 1, 1995 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
September 26, 1986 - February 10, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
March 21, 1983 - August 25, 1986
MERIT SECURITIES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
