LJ
Louis K. Jeffries
LPL ENTERPRISE
Hadley, MA 01035
Some features on this profile are disabled
CRD#: 4847209
LJ
Professional summary
Louis Kevin Jeffries JR, who also goes by Louis K Jeffries, Louis Kevin Jeffries, Kevin Jeffries, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Hadley, Massachusetts.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Louis has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Louis K Jeffries | Louis Kevin Jeffries | Kevin Jeffries
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)LOUIS KEVIN JEFFRIES/FIXED INSURANCE 4 BAY ROAD, SUITE 100 HADLEY, MA 01035 CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT DUTIES: OFFERING ACCIDENT AND HEALTH, COMMISSION-BASED GROUP BENEFITS , DISABILITY INSURANCE, FIXED ANNUITIES, HEALTH SAVINGS ACCOUNTS, FIXED LIFE SETTLEMENTS, LONG TERM CARE INSURANCE, PREMIUM FINANCING, AND SERVICE FEE BASED GROUP BENEFITS START DATE: 3/1/2021 HOURS PER MONTH: 15 HOURS PER MONTH DURING TRADING HOURS: 5 MIDLAND NATIONAL OUTSIDE APPOINTMENT POSITION: Sales NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/14/2022 ADDRESS: 1 Sausoms Plaza, Sioux Falls SD 57193, United States DESCRIPTION: Conduct Fixed Insurance Business
CRS (Client Relationship Summary) - RIA
Click below to view Louis Kevin Jeffries JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Louis Kevin Jeffries JR's 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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 4 Bay Road Suite 100, Hadley, MA 01035RIA
BD
CRD#: 8733
Hadley, MA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 4 Bay Road Suite 100, Hadley, MA 01035RIA
BD
CRD#: 8733
Hadley, MA
Past
December 8, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Hadley, MA
Past
December 7, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Hadley, MA
Past
February 8, 2021 - December 8, 2022
OSAIC FA, INC.
RIA
CRD#: 3978
HADLEY, MA
Past
February 1, 2021 - December 8, 2022
OSAIC FA, INC.
BD
CRD#: 3978
HADLEY, MA
Past
March 12, 2018 - January 11, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
EAST LONGMEADOW, MA
Past
February 26, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
EAST LONGMEADOW, MA
Past
February 26, 2018 - January 11, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
EAST LONGMEADOW, MA
Past
November 29, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
July 23, 2009 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
EAST LONGMEADOW, MA
Past
January 4, 2007 - July 21, 2009
TD AMERITRADE, INC.
RIA
CRD#: 7870
OAK BROOK, IL
Past
January 4, 2007 - July 21, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
OAK BROOK, IL
Past
January 4, 2007 - July 21, 2009
TD AMERITRADE, INC.
BD
CRD#: 7870
OAK BROOK, IL
Past
October 6, 2006 - December 14, 2006
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
CHICAGO, IL
Past
May 23, 2006 - August 30, 2006
EDWARD JONES
BD
CRD#: 250
LOMBARD, IL
Past
July 6, 2005 - March 15, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CALUMET CITY, IL
Past
October 12, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
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)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
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
RR
Alabama(11/14/2024)
RR
Connecticut(11/14/2024)
IAR
Connecticut(11/14/2024)
RR
Florida(11/18/2024)
IAR
Florida(11/18/2024)
RR
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
Maine(11/14/2024)
RR
Massachusetts(11/14/2024)
IAR
Massachusetts(11/14/2024)
RR
Michigan(11/14/2024)
RR
Missouri(8/14/2025)
RR
New Hampshire(11/14/2024)
RR
New York(11/14/2024)
RR
Ohio(11/14/2024)
RR
Rhode Island(11/14/2024)
IAR
Rhode Island(11/14/2024)
RR
Vermont(11/14/2024)
RR
Wisconsin(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
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)BD
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)
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 | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
