Jaime A. Chavez Llerenas

LPL ENTERPRISE

PLANO, TX 75024

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CRD#: 4851520

Professional summary

Jaime Alberto Chavez Llerenas, who also goes by Jaime Alberto Chavez, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Plano, Texas.

Jaime is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Jaime has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jaime Alberto Chavez

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) - RIA

Click below to view Jaime Alberto Chavez Llerenas's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jaime Alberto Chavez Llerenas'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

December 2, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024

RIA

CRD#: 8733

PLANO, TX

Current

December 1, 2025 - Present

LPL ENTERPRISE, LLC

Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024

RIA

CRD#: 8733

PLANO, TX

Past

December 10, 2024 - December 8, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

San Antonio, TX

Past

December 10, 2024 - December 8, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

San Antonio, TX

Past

January 9, 2020 - December 10, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

NEWARK, NJ

Past

January 9, 2020 - December 10, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

October 12, 2017 - January 6, 2020

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

San Antonio, TX

Past

September 29, 2017 - January 6, 2020

MML INVESTORS SERVICES, LLC

CRD#: 10409

San Antonio, TX

Past

May 27, 2015 - August 18, 2017

INTERCONTINENTAL WEALTH ADVISORS, LLC

RIA

CRD#: 114787

SAN ANTONIO, TX

Past

May 27, 2015 - August 18, 2017

INTERCONTINENTAL ASSET MANAGEMENT GROUP, LTD.

CRD#: 22408

SAN ANTONIO, TX

Past

January 17, 2013 - May 4, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN ANTONIO, TX

Past

January 17, 2013 - May 4, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

June 29, 2012 - November 27, 2012

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

LAKE OSWEGO, OR

Past

June 21, 2012 - November 27, 2012

PRINCIPAL SECURITIES, INC.

CRD#: 1137

LAKE OSWEGO, OR

Past

February 10, 2012 - June 22, 2012

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

PORTLAND, OR

Past

August 5, 2011 - June 22, 2012

EQUITABLE ADVISORS, LLC

CRD#: 6627

PORTLAND, OR

Past

June 12, 2008 - June 7, 2011

PARK AVENUE SECURITIES LLC

CRD#: 46173

PORTLAND, OR

Past

January 18, 2006 - March 13, 2008

NATIONWIDE SECURITIES, LLC

CRD#: 11173

BEAVERTON, OR

Past

November 2, 2004 - August 17, 2005

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

WESTLAKE VILLAGE, CA

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

California
(2/4/2026)

New Jersey
(2/4/2026)

Oregon
(12/5/2025)

Texas
(12/2/2025)

IAR

Texas
(12/2/2025)

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 65

Date: 2/9/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/4/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/1/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/23/2011

General Securities Principal 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
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742
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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Advisor Monitoring

Firm Stability Insights

Jaime A. Chavez Llerenas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jaime Alberto Chavez Llerenas's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jaime Alberto Chavez Llerenas's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

INTERCONTINENTAL WEALTH ADVISORS, LLC

INTERCONTINENTAL ASSET MANAGEMENT GROUP, LTD.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

PARK AVENUE SECURITIES LLC

NATIONWIDE SECURITIES, LLC

FARMERS FINANCIAL SOLUTIONS, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/9/2012

Series 63

Date: 10/25/2004

SIE

Date: 10/1/2018

Series 7

Date: 8/4/2011

Series 6

Date: 11/1/2004

Series 24

Date: 11/23/2011

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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