AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JI

Jerald G. Irving

LPS CAPITAL
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 5416804
JI

Professional summary

Jerald Griffin Irving, who also goes by Gerald Griffin Irving, Griffin Irving, is a registered financial professional currently at LPS CAPITAL LLC located in New York, New York.

Jerald is registered as a RR (Registered Representative) and started their career in finance in 2008. Jerald has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gerald Griffin Irving | Griffin Irving

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) - BD

Click below to view Jerald Griffin Irving'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®
None

Experience

Current

April 8, 2025 - Present

LPS CAPITAL LLC

Office #1: 600 Lexington Avenue Suite 502, New York, NY 10022
BD
CRD#: 155246
NEW YORK, NY
Past

December 16, 2020 - March 6, 2025

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
Stamford, CT
Past

January 29, 2019 - November 20, 2020

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

September 25, 2008 - March 27, 2019

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY

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: 12/23/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/23/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LPS CAPITAL LLC
DISCOUNT MUNICIPAL BOND CORP. | TORREY PINES WEALTH MANAGEMENT, INC. | LPS PARTNERS INC. | LPS CAPITAL LLC

CRD#: 155246 / SEC#: , 8-68706

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
600 Lexington Avenue Suite 502, New York, NY 10022
Mailing Address
600 Lexinggton Avenue Suite 502, New York, NY 10022
Phone number
(212) 441-3810
Established
California since 05/18/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LPS PARTNERS LLCOWNER
TARLETON, JOHN WILLIAMPRESIDENT, CCO, FINOP1631047

Disclosures

Regulatory Event1

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

LPS CAPITAL LLC

CRD#: 155246New York, NY 10022

TRUST BUT VERIFY

Monitor Jerald Irving

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anthony J. Macagna
Anthony MacagnaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
PARAMUS, NJ
Eileen Polese
Eileen PoleseAdvisorCheck Check Mark
HIGHTOWER ADVISORS, LLC
IAR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.