Jolene A. Stanton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jolene A Stanton, who also goes by Jolene Ann Mushro, Jolene Ann Mushro, Jolene Ann Stanton, was a registered financial professional .
Jolene is a previously registered financial professional and started their career in finance in 1988. Jolene had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2021 - April 19, 2023
LPL FINANCIAL LLC
July 26, 2021 - April 19, 2023
LPL FINANCIAL LLC
September 28, 2020 - January 28, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 28, 2020 - January 28, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 6, 2017 - November 9, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 6, 2017 - November 9, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 24, 2016 - July 6, 2017
J.P. MORGAN SECURITIES LLC
June 24, 2016 - July 6, 2017
J.P. MORGAN SECURITIES LLC
March 2, 2015 - June 15, 2016
STRATEGIC ADVISERS LLC
February 4, 2015 - June 13, 2016
FIDELITY BROKERAGE SERVICES LLC
February 18, 2010 - January 16, 2015
CITIGROUP GLOBAL MARKETS INC.
February 18, 2010 - January 16, 2015
CITIGROUP GLOBAL MARKETS INC.
November 5, 2008 - February 3, 2010
CHASE INVESTMENT SERVICES CORP.
November 5, 2008 - February 3, 2010
CHASE INVESTMENT SERVICES CORP.
November 4, 2005 - December 14, 2007
SECURIAN FINANCIAL SERVICES, INC.
August 9, 2005 - December 14, 2007
SECURIAN FINANCIAL SERVICES, INC.
December 21, 1999 - February 25, 2004
CHARLES SCHWAB & CO., INC.
December 1, 1988 - August 4, 1998
CHARLES SCHWAB & CO., 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.
