Jaime A. Torres

LPL ENTERPRISE

SACO, ME 04072

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CRD#: 4404225

Professional summary

Jaime Abreu Torres, who also goes by Jaime Abreu Torres Jr., Jaime Abreu Torres, Jaime Torres, Jaime Abreu Torres Jr, Jaime Abreu Torres Jr, James , Jimmy Torres Jr, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Saco, Maine.

Jaime is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jaime has worked at 13 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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) 01/03/2025 - Fidelity & Guaranty Insurance - Non-Variable Insurance/Insurance Agency - Provide servicing on client's policies and contracts - At Des Moines, IA - INV Related - Start Date 01/01/2022 - 1hrs/mth - 0hrs During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jaime Abreu Torres's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jaime Abreu Torres'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

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 885 Portland Rd Suite 201, Saco, ME 04072

RIA

CRD#: 8733

SACO, ME

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 885 Portland Rd Suite 201, Saco, ME 04072

RIA

CRD#: 8733

SACO, ME

Past

January 5, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Dover, NH

Past

January 4, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Dover, NH

Past

August 31, 2021 - January 10, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BAR HARBOR, ME

Past

August 31, 2021 - December 26, 2023

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

BAR HARBOR, ME

Past

February 18, 2020 - August 2, 2021

EDWARD JONES

RIA

CRD#: 250

Los Alamitos, CA

Past

February 14, 2020 - August 2, 2021

EDWARD JONES

CRD#: 250

Los Alamitos, CA

Past

November 18, 2016 - February 21, 2020

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

DOWNEY, CA

Past

November 18, 2016 - February 21, 2020

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

DOWNEY, CA

Past

November 18, 2015 - September 1, 2016

MORGAN STANLEY

RIA

CRD#: 149777

NEWPORT BEACH, CA

Past

November 18, 2015 - September 1, 2016

MORGAN STANLEY

CRD#: 149777

NEWPORT BEACH, CA

Past

July 15, 2014 - August 18, 2015

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

NEWPORT BEACH, CA

Past

July 15, 2014 - August 18, 2015

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEWPORT BEACH, CA

Past

October 17, 2013 - July 29, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 6, 2013 - May 22, 2013

SPIRE SECURITIES, LLC

CRD#: 144131

IRVINE, CA

Past

April 15, 2013 - May 22, 2013

SPIRE WEALTH MANAGEMENT, LLC

RIA

CRD#: 113908

MCLEAN, VA

Past

July 16, 2007 - November 5, 2012

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

COSTA MESA, CA

Past

November 12, 2001 - June 27, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MIAMI, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

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)

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

Arizona
(11/14/2024)

California
(11/14/2024)

Florida
(11/15/2024)

Maine
(11/14/2024)

IAR

Maine
(11/14/2024)

Massachusetts
(11/14/2024)

New Hampshire
(11/14/2024)

IAR

New Hampshire
(11/14/2024)

New York
(11/14/2024)

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

IAR

Series 66

Date: 1/26/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/7/2001

General Securities Representative Examination

SRO Registrations

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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Firm Stability Insights

Jaime A. Torres

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jaime Abreu Torres's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jaime Abreu Torres's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

EDWARD JONES

EDWARD JONES

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

J.P. MORGAN SECURITIES LLC

SPIRE SECURITIES, LLC

SPIRE WEALTH MANAGEMENT, LLC

DEUTSCHE BANK SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/26/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/7/2001

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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