Jean M. Evans
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.
Jean Marie Evans, who also goes by Jean Marie Daehn, Jean Daehn, Jean M Evans, Jean Evans, was a registered financial professional .
Jean is a previously registered financial professional and started their career in finance in 1997. Jean had worked at 9 firms and has passed the Series 66, Series 63, 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
July 12, 2013 - July 31, 2013
LPL FINANCIAL LLC
July 11, 2013 - July 31, 2013
LPL FINANCIAL LLC
November 18, 2011 - January 19, 2012
OSAIC SERVICES, INC.
November 14, 2011 - January 19, 2012
OSAIC SERVICES, INC.
August 3, 2011 - November 16, 2011
NEXT FINANCIAL GROUP, INC.
August 3, 2011 - November 16, 2011
NEXT FINANCIAL GROUP, INC.
November 17, 2010 - July 26, 2011
PNC WEALTH MANAGEMENT LLC
November 17, 2010 - July 26, 2011
PNC WEALTH MANAGEMENT LLC
April 22, 2008 - November 10, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2008 - November 10, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 9, 2001 - August 27, 2004
METROPOLITAN LIFE INSURANCE COMPANY
November 9, 2001 - August 27, 2004
MSI FINANCIAL SERVICES, INC.
March 20, 1998 - November 7, 2001
WALNUT STREET SECURITIES, INC.
June 17, 1997 - February 9, 1998
PRUCO SECURITIES, LLC.
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.
