Joy L. Maxfield
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.
Joy Lynn Maxfield, who also goes by Joy Lynn De Vorss, Joy Lynn Devorss, Martin Joy Lynn Maxfield, Umphenour Joy Lynn Maxfield, was a registered financial professional .
Joy is a previously registered financial professional and started their career in finance in 1988. Joy had worked at 11 firms and has passed the Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2007 - June 23, 2021
LPL FINANCIAL LLC
August 30, 2007 - June 23, 2021
LPL FINANCIAL LLC
August 22, 2007 - November 6, 2007
SECU BROKERAGE SERVICES
December 5, 2006 - July 18, 2007
COMMONWEALTH FINANCIAL NETWORK
December 5, 2006 - July 18, 2007
COMMONWEALTH FINANCIAL NETWORK
September 12, 2006 - December 14, 2006
OSAIC SERVICES, INC.
August 31, 2006 - December 8, 2006
THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
April 5, 2002 - September 13, 2004
SENTRA SECURITIES CORPORATION
January 7, 2002 - September 13, 2004
SENTRA SECURITIES CORPORATION
February 25, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
February 25, 2000 - January 14, 2002
VALIC FINANCIAL ADVISORS, INC.
January 30, 1996 - February 15, 2000
CAL FED INVESTMENTS
August 1, 1991 - February 8, 1996
IFMG SECURITIES, INC.
March 14, 1989 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
December 6, 1988 - April 5, 1989
CAL FED INVESTMENTS
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.
