John William Tarleton
Professional Summary
John William Tarleton is a registered financial advisor currently at LPS CAPITAL LLC located in New York, New York. John is registered as a RR (Registered Representative) and started their career in finance in 1992. John has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 27, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
DISCOUNT MUNICIPAL BOND CORP. | TORREY PINES WEALTH MANAGEMENT, INC. | LPS PARTNERS INC. | LPS CAPITAL LLC
Contact Information
Main Address
600 Lexington Avenue Suite 502, New York, NY 10022Mailing Address
600 Lexinggton Avenue Suite 502, New York, NY 10022Phone Number
(212) 441-3810Established
California since 05/18/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (28 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPS PARTNERS LLC | OWNER | — |
| TARLETON, JOHN WILLIAM | PRESIDENT, CCO, FINOP | 1631047 |
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(12/18/2014)
(8/5/2015)
(7/24/2015)
(8/14/2015)
(5/21/2024)
(9/7/2016)
(8/29/2013)
(6/12/2013)
(1/8/2015)
(3/26/2025)
(7/23/2015)
(9/2/2015)
(4/16/2015)
(3/30/2017)
(3/15/2013)
(8/14/2015)
(5/5/2016)
(12/14/2022)
(8/21/2015)
(7/28/2015)
(5/24/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John William Tarleton's CRS (Customer Relationship Summary).
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