JM
John D. Mcinnes
LPL ENTERPRISE
Little Chute, WI 54140
Some features on this profile are disabled
CRD#: 6154599
JM
Professional summary
John Duncan Mcinnes Jr, who also goes by John Mcinnes, John D Mcinnes, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Little Chute, Wisconsin.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. John has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Mcinnes | John D Mcinnes
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.
1) 09/06/2024 - The Pru Crew, LLC - 300 Patriot Dr, Suite B, Little Chute WI 54140. the Manager shall have full and complete authority to manage the business of Company, to make all decisions in connection with the business of the Company, and to perform all other acts customary or incidental to the management of the Company`s business - Real Estate Rental - Inv Related - At LITTLE CHUTE, WI - Start Date 02/16/2024 - 0hrs/mth - 0hrs/mth During Trading 2) 03/19/2025 - John McInnes - Non-Variable Insurance- This OBA is for the sale of Proprietary and Non-Proprietary Fixed Insurance Products - inv. related- at Little Chute, WI- start date 11/16/2024-50hrs/mnth-20hrs during trading
CRS (Client Relationship Summary) - RIA
Click below to view John Duncan Mcinnes Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Duncan Mcinnes 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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 300 Patriot Drive Suite B, Little Chute, WI 54140RIA
BD
CRD#: 8733
Little Chute, WI
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 300 Patriot Drive Suite B, Little Chute, WI 54140RIA
BD
CRD#: 8733
Little Chute, WI
Past
January 17, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Little Chute, WI
Past
January 7, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Little Chute, WI
Past
March 21, 2016 - January 9, 2019
PACKERLAND BROKERAGE SERVICES, INC.
RIA
CRD#: 37031
Oshkosh, WI
Past
March 21, 2016 - January 9, 2019
PACKERLAND BROKERAGE SERVICES, INC.
BD
CRD#: 37031
Oshkosh, WI
Past
May 20, 2013 - March 21, 2016
EDWARD JONES
RIA
CRD#: 250
LITTLE CHUTE, WI
Past
March 1, 2013 - March 21, 2016
EDWARD JONES
BD
CRD#: 250
LITTLE CHUTE, WI
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
Arkansas(10/27/2025)
RR
Florida(1/16/2025)
RR
Michigan(11/14/2024)
RR
Minnesota(10/27/2025)
RR
Ohio(11/14/2024)
RR
Texas(5/8/2025)
RR
Wisconsin(11/14/2024)
IAR
Wisconsin(11/14/2024)
Exams
State Security Law 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
