JL
John J. Lupi
STIFEL INDEPENDENT ADVISORS
Colts Neck, NJ 07722
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CRD#: 1488114
JL
Professional summary
John Joseph Lupi JR is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Colts Neck, New Jersey.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. John has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Client First Financial, LLC; 410 Hwy 34, Suite 214, Colts Neck, NJ 07722; Brokerage/Financial Services offered through Stifel Independent Advisors; Managing Director; 10/03/2003; 1 Hour per Week; Not during securities trading hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view John Joseph Lupi JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Joseph Lupi JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 13, 2023 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 410 Highway 34 Suite 214, Colts Neck, NJ 07722RIA
BD
CRD#: 28218
Colts Neck, NJ
Current
June 13, 2023 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 410 Highway 34 Suite 214, Colts Neck, NJ 07722RIA
BD
CRD#: 28218
Colts Neck, NJ
Past
August 14, 2012 - June 16, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
COLTS NECK, NJ
Past
August 14, 2012 - June 16, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
COLTS NECK, NJ
Past
October 3, 2003 - August 15, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
COLTS NECK, NJ
Past
October 3, 2003 - August 15, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
COLTS NECK, NJ
Past
June 3, 2002 - October 15, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MANALAPAN, NJ
Past
January 7, 1997 - October 15, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 31, 1989 - January 29, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 12, 1987 - January 19, 1989
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
December 12, 1986 - April 20, 1987
MABON, NUGENT & CO.
BD
CRD#: 2617
Past
August 19, 1986 - December 15, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
August 19, 1986 - December 23, 1986
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/13/2023)
RR
Arizona(6/13/2023)
RR
California(6/13/2023)
RR
Colorado(6/13/2023)
RR
Delaware(6/13/2023)
RR
Florida(6/13/2023)
RR
Louisiana(8/19/2025)
RR
Maryland(6/13/2023)
RR
Massachusetts(6/13/2023)
RR
Michigan(6/13/2023)
RR
New Hampshire(4/16/2025)
RR
New Jersey(6/13/2023)
IAR
New Jersey(6/13/2023)
RR
New York(6/13/2023)
RR
North Carolina(6/13/2023)
RR
Pennsylvania(6/13/2023)
RR
South Carolina(6/13/2023)
RR
Tennessee(7/5/2024)
IAR
Texas(6/13/2023)
RR
Texas(1/5/2024)
RR
Virginia(7/1/2025)
RR
Washington(5/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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.
