MJ
Margaret L. Jones
LPL ENTERPRISE
ROSEMONT, IL 60018
Some features on this profile are disabled
CRD#: 5961724
MJ
Professional summary
Margaret Larkin Jones, who also goes by Margaret Jones, Peggy Larkin Jones, Peggy Jones, Margaret L Jones, Margaret A Larkin, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Rosemont, Illinois.
Margaret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Margaret has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Margaret Jones | Peggy Larkin Jones | Peggy Jones | Margaret L Jones | Margaret A Larkin
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.
GUARDIAN FOR KATHLEEN FLYNN POSITION: Legal Guardian NATURE: Fiduciary Appointment (e.g., Trustee, Executor, POA) INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 10/23/2023 ADDRESS: 741 West Maple, Hinsdale IL 50521, United States DESCRIPTION: Pay kathy's bills, Balance her accounts, follow her investments, meet with her doctors, sell her home
CRS (Client Relationship Summary) - RIA
Click below to view Margaret Larkin Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Margaret Larkin Jones'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: 10275 W Higgins Road Suite 200, Rosemont, IL 60018RIA
BD
CRD#: 8733
ROSEMONT, IL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 10275 W Higgins Road Suite 200, Rosemont, IL 60018RIA
BD
CRD#: 8733
ROSEMONT, IL
Past
February 16, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ROSEMONT, IL
Past
February 15, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ROSEMONT, IL
Past
September 29, 2020 - March 24, 2021
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Hinsdale, IL
Past
September 14, 2020 - March 24, 2021
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Hinsdale, IL
Past
July 19, 2018 - April 13, 2020
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CHICAGO, IL
Past
July 19, 2018 - April 13, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CHICAGO, IL
Past
August 30, 2016 - October 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NORTHBROOK, IL
Past
August 30, 2016 - October 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NORTHBROOK, IL
Past
December 5, 2014 - July 29, 2016
MORGAN STANLEY
RIA
CRD#: 149777
DEERFIELD, IL
Past
December 5, 2014 - July 29, 2016
MORGAN STANLEY
BD
CRD#: 149777
DEERFIELD, IL
Past
January 1, 2014 - March 5, 2014
MORGAN STANLEY
BD
CRD#: 149777
DEERFIELD, IL
Past
October 7, 2011 - September 12, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
NORTHBROOK, 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
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
Indiana(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
