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LL

Levi D. Lindemann

Some features on this profile are disabled
CRD#: 4163876
LL

Professional summary

Levi David Lindemann was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Levi is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Levi had worked at 6 firms, which includes J.P. TURNER & COMPANY L.L.C., WORKMAN SECURITIES CORPORATION, UNITED EQUITY SECURITIES LLC, TRANSAMERICA FINANCIAL ADVISORS LLC, FIRST FOUNDERS SECURITIES INC., UNITED SECURITIES ALLIANCE INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 1, 2010 - March 26, 2012

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
OAKDALE, MN
Past

October 1, 2009 - November 3, 2010

WORKMAN SECURITIES CORPORATION

BD
CRD#: 31898
OAKDALE, MN
Past

March 26, 2008 - October 2, 2009

UNITED EQUITY SECURITIES, LLC

BD
CRD#: 47261
HUSTON, TX
Past

April 3, 2007 - March 6, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
OAKDALE, MN
Past

October 26, 2005 - March 30, 2007

FIRST FOUNDERS SECURITIES, INC.

BD
CRD#: 128624
TAMPA, FL
Past

December 7, 2001 - July 3, 2003

UNITED SECURITIES ALLIANCE, INC.

BD
CRD#: 36487
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/25/2005
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/5/2007
Investment Company Products/Variable Contracts Principal Examination

Current Firm

JT
J.P. TURNER & COMPANY, L.L.C.
J.P. TURNER & COMPANY | J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177 / SEC#: , 8-50156

BD
Terminated by SEC on 04/04/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 04/11/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BRAVES AQUISITION LLCMEMBER
SHELSON, MARK PAULCORPORATE TREASURER1819252
WOLL, EDWARD BARNETTCHIEF COMPLIANCE OFFICER1096606

Disclosures

Regulatory Event30
Arbitration12

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.

Company Information

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

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