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Lester John Harper

CRD# 709271·Registered 1980 - 2012
Previously Registered: Being a previously registered professional could mean that Lester 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.

Professional Summary

Lester John Harper was a registered financial advisor. Lester was a previously registered financial professional and started their career in finance 1980 - 2012. Lester had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 24, Series 53, Series 4 and Series 12 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

46 years in the financial services industry

Current & Past Employments

J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Salt Lake City, UT
August 5, 2009 - May 31, 2012
CAPITAL FINANCIAL SERVICES, INC.·CRD# 8408
BD
Cedar Hills, UT
March 31, 2007 - August 6, 2009
COMMUNITY BANKERS SECURITIES, LLC·CRD# 42794
BD
Cedar Hills, UT
September 19, 2003 - April 5, 2007
ALLSTATE FINANCIAL SERVICES, LLC·CRD# 18272
BD
Lincoln, NE
March 6, 2002 - September 9, 2003
CAPITAL SUISSE SECURITIES, INC.·CRD# 37531
BD
San Francisco, CA
June 4, 2001 - November 6, 2001
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
El Segundo, CA
December 8, 1998 - June 5, 2001
WMA SECURITIES, INC.·CRD# 32625
BD
Duluth, GA
December 2, 1996 - December 22, 1998
RFCA FINANCIAL SERVICES, INC.·CRD# 16562
BD
Torrance, CA
May 21, 1996 - June 12, 1996
NORCROSS & COMPANY·CRD# 28570
BD
Phoenix, AZ
June 16, 1995 - August 9, 1996
LASALLE ST SECURITIES, L.L.C.·CRD# 7191
BD
Elmhurst, IL
October 6, 1993 - April 3, 1995
ZIONS DIRECT, INC.·CRD# 17776
BD
Salt Lake City, UT
May 20, 1988 - August 19, 1993
LEHMAN BROTHERS INC.·CRD# 7506
BD
September 2, 1986 - February 25, 1988
E. F. HUTTON & COMPANY INC·CRD# 235
BD
June 4, 1980 - August 29, 1986

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Current Firm

JT
J.P. TURNER & COMPANY, L.L.C.

J.P. TURNER & COMPANY | J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177 / SEC#: 8-50156
BD
Terminated by SEC on 04/04/2016

Contact Information

Established

Georgia since 04/11/1997

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BRAVES AQUISITION LLCMEMBER—
SHELSON, MARK PAULCORPORATE TREASURER1819252
WOLL, EDWARD BARNETTCHIEF COMPLIANCE OFFICER1096606

Disclosures

Regulatory Event

30

Arbitration

12

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 1992About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1980About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1980About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 1986About the Series 24 exam

Series 53 — Municipal Securities Principal Examination

Passed Oct 1986About the Series 53 exam

Series 4 — Registered Options Principal Examination

Passed May 1982About the Series 4 exam

Series 12 — NYSE Branch Manager Examination

Passed Oct 1981

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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