Devonte Ivory
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Devonte Ivory, who also goes by Devonte L IVory, Devonte Lavelle Ivory, Devonte Lavelle Jackson, was a registered financial professional .
Devonte is a previously registered financial professional and started their career in finance in 2018. Devonte had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2022 - September 25, 2025
LPL FINANCIAL LLC
January 12, 2022 - September 25, 2025
LPL FINANCIAL LLC
July 30, 2020 - December 2, 2021
MML INVESTORS SERVICES, LLC
July 29, 2020 - December 2, 2021
MML INVESTORS SERVICES, LLC
July 19, 2019 - July 22, 2020
W&S BROKERAGE SERVICES, INC.
July 19, 2019 - July 22, 2020
W&S BROKERAGE SERVICES, INC.
December 14, 2018 - June 26, 2019
EDWARD JONES
November 21, 2018 - June 26, 2019
EDWARD JONES
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
What does exam status mean?
Series 7TO
Passed: 11/21/2018
General Securities Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | GROUP MANAGING DIRECTOR, CHIEF CLIENT OFFICER | 4194266 |
| GATES, GREGORY | GROUP MANAGING DIRECTOR, CHIEF PRODUCT & TECHNOLOGY OFFICER | 7069201 |
| JAMBUSARIA, ANERI | GROUP MANAGING DIRECTOR, CHIEF WEALTH OFFICER | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | GROUP MANAGING DIRECTOR, CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | MANAGING DIRECTOR, CHIEF RISK OFFICER, HEAD OF BUSINESS OPERATIONS | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,850,994 |
| AUM (Assets Under Management) | $ 819,117,829,825 |
Disclosures
| Regulatory Event | 236 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2026 | ||
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
