Jacob L. Harper
Professional summary
Jacob Lee Harper was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jacob Lee Harper, who also goes by Jake Harper, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 2004. Jacob had worked at 7 firms and has passed the Series 66, 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
March 4, 2025 - November 14, 2025
LPL FINANCIAL LLC
March 3, 2025 - October 22, 2025
LPL FINANCIAL LLC
September 15, 2023 - March 17, 2025
D.A. DAVIDSON & CO.
September 14, 2023 - March 17, 2025
D.A. DAVIDSON & CO.
August 6, 2013 - September 20, 2023
WELLS FARGO CLEARING SERVICES, LLC
August 5, 2013 - September 20, 2023
WELLS FARGO CLEARING SERVICES, LLC
January 11, 2012 - August 14, 2013
BANCWEST INVESTMENT SERVICES, INC.
January 10, 2012 - August 14, 2013
BANCWEST INVESTMENT SERVICES, INC.
March 23, 2007 - January 6, 2012
U.S. BANCORP INVESTMENTS, INC.
March 14, 2007 - September 29, 2011
U.S. BANCORP INVESTMENTS, INC.
February 27, 2006 - September 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2006 - September 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 2004 - November 9, 2005
WELLS FARGO INVESTMENTS, LLC
August 10, 2004 - November 9, 2005
WELLS FARGO INVESTMENTS, 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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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 | 214 |
| 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.
