Jean C. Jimenez

LPL ENTERPRISE

Paterson, NJ

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CRD#: 5590898

Professional summary

Jean C Jimenez, who also goes by Jean Carlos Jimenez, Jean C Jimenez, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Paterson, New Jersey.

Jean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Jean has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jean Carlos Jimenez | Jean C Jimenez

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 Jean C Jimenez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jean C Jimenez'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

October 17, 2024 - Present

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

Paterson, NJ

Current

October 16, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1055 Lpl Way, Fort Mill, SC 29715

RIA

CRD#: 8733

Fort Mill, SC

Current

November 25, 2024 - Present

LPL FINANCIAL LLC

Office #1: 1055 Lpl Way, Fort Mill, SC 29715

RIA

CRD#: 6413

Fort Mill, SC

Past

April 16, 2018 - October 3, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Newark, NJ

Past

April 13, 2018 - October 3, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Newark, NJ

Past

October 3, 2016 - January 10, 2018

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

July 17, 2014 - September 2, 2016

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

July 10, 2014 - September 2, 2016

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

January 29, 2014 - July 1, 2014

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

NEW YORK, NY

Past

January 29, 2014 - July 1, 2014

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

October 1, 2012 - January 2, 2014

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

BRONX, NY

Past

October 1, 2012 - January 2, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

BRONX, NY

Past

November 9, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

BRONX, NY

Past

November 9, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BRONX, NY

Past

September 16, 2009 - October 21, 2009

CHARLES VISTA LLC

CRD#: 132650

NEW YORK, NY

Past

April 29, 2009 - June 2, 2009

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, NY

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

New Jersey
(10/16/2024)

IAR

New Jersey
(10/17/2024)

South Carolina
(10/16/2024)

IAR

South Carolina
(10/22/2024)

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: 9/19/2009

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: 4/28/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/13/2024

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
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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Advisor Monitoring

Firm Stability Insights

Jean C. Jimenez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jean C Jimenez's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jean C Jimenez's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

LPL FINANCIAL LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

NYLIFE SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CHARLES VISTA LLC

JOHN THOMAS FINANCIAL

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2009

SIE

Date: 10/1/2018

Series 7

Date: 4/28/2009

Series 24

Date: 9/13/2024

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

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