Jonathan D. Hoopes

LPL ENTERPRISE

PLANO, TX 75024

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CRD#: 2249233

Professional summary

Jonathan David Hoopes, who also goes by Jonathan Hoopes, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Plano, Texas.

Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Jonathan has worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 79, Series 87, Series 86, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan Hoopes

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. 09/05/2025 - Moraga Analytics, LLC - Business Entity for Tax/Investment Purposes Only - Non Inv Related - Flower Mound, TX - Start Date 12/18/2014 - 0hrs/MTH 0hrs/MTH During Trading 2. 09/05/2025 - Moraga Partners, LLC - Business Entity for Tax/Investment Purposes Only - Non Inv Related - Flower Mound, TX - Start Date 12/18/2014 - 5hrs/MTH 0hrs/MTH During Trading 3. 09/05/2025 - Warner Springs Ag LLC - Business Owner - Non Inv Related - Hendrix, OK - Start Date 05/16/2022 - 10hrs/MTH 0hrs/MTH During Trading 4. 09/17/2025 - Lion Rock Ventures North America, LLC - Business Entity for Tax/Investment Purposes Only - Non Inv Related - Flower Mound, TX - Start Date 10/14/2009 - 0hrs/MTH 0hrs/MTH During Trading 5. 09/05/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - Flower Mound, TX - Start Date 09/03/2025 - 160hrs/MTH 160hrs/MTH During Trading 6. 09/05/2025 - JONATHAN DAVID HOOPES - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv Related - Flower Mound, TX - Start Date 09/03/2025 - 160hrs/MTH 160hrs/MTH During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan David Hoopes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jonathan David Hoopes's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 22, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024

RIA

CRD#: 8733

PLANO, TX

Current

September 22, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024

RIA

CRD#: 8733

PLANO, TX

Past

October 15, 2024 - July 23, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PLANO, TX

Past

September 20, 2024 - July 23, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(9/22/2025)

Connecticut
(9/22/2025)

Kansas
(10/17/2025)

Oklahoma
(9/24/2025)

Texas
(9/22/2025)

IAR

Texas
(9/22/2025)

Utah
(9/22/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Jonathan D. Hoopes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan David Hoopes's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jonathan David Hoopes's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AVALON SECURITIES, LTD.

THINKEQUITY LLC

WM SMITH & CO.

UBS SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

DEUTSCHE BANK SECURITIES INC.

GOLDMAN SACHS & CO. LLC

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/18/2024

Series 65

Date: 9/17/2024

Series 7TO

Date: 10/14/2024

SIE

Date: 9/25/2024

Series 79

Date: 9/14/2016

Series 87

Date: 12/3/2004

Series 86

Date: 12/2/2004

Series 3

Date: 9/9/1996

Series 7

Date: 8/29/1996

Series 6

Date: 6/23/1992

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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