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JL

James R. Lapiedra

VESTWELL SECURITIES
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 5708213
JL

Professional summary

James Richard Lapiedra JR, who also goes by James Richard Jr Lapiedra, James Lapiedra, is a registered financial professional currently at VESTWELL SECURITIES, LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2011. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Richard Jr Lapiedra | James Lapiedra

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 James Richard Lapiedra 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®
None

Experience

Current

April 27, 2026 - Present

VESTWELL SECURITIES, LLC

Office #1: 360 Madison Avenue 15th Floor, New York, NY 10017
BD
CRD#: 331531
NEW YORK, NY
Past

May 11, 2011 - April 1, 2026

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
JERSEY CITY, NJ
Past

January 20, 2011 - April 1, 2026

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(4/27/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/10/2011
Uniform Combined 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: 1/19/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VS
VESTWELL SECURITIES, LLC
VESTWELL SECURITIES, LLC

CRD#: 331531 / SEC#: , 8-71272

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
360 Madison Avenue 15th Floor, New York, NY, 10017
Mailing Address
360 Madison Avenue 15th Floor, New York, NY, 10017
Phone number
(917) 844-0320
Established
Delaware since 04/19/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
VESTWELL HOLDINGS, INC.SHAREHOLDER
BLANCO MARQUEZ, ADRIANA GRISELLECCO7778003
BRIER, RHONDA JILLCOMPLIANCE OFFICER4537516
DREPAUL, ROSHNIFINOP6487453
MAGNOLIA, DOUGLAS JAMESCEO8224858

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

VESTWELL SECURITIES, LLC

CRD#: 331531New York, NY 10017

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