About LPL Financial LLC
At the Jal Dennis Group, our clients are looking for a financial steward - an experienced advisor who will partner with them and serve as their advocate and guide on the path to pursuing their goals. Our focus is on long-term planning, not securities transactions. Our planning process is collaborative and requires your input every step of the way to ensure your goals and interests remain front and center.
As independent advisors, we focus solely on serving your needs and acting in your best interest at all times. This provides you with the confidence you seek to pursue financial independence on your terms.
See Disclosures
General Information
Firm Start Year
2008
No. of Employees
5-9
CRD#
6755866
Firm CRD#
4376904
Insurance License#
2203266
Name of Broker/Dealer
LPL Financial
Name of Custodial Firm
LPL Financial
States Licensed in
AR, CA, CO, GA, HI, IN, NV, OK, TX, UT, VA, WA, WV, WI, WY
Years of Experience in Financial Services
27
Number of Years with Current Firm
5
Work with the following types of clients
Businesses, Individual Investors, Non-Profit Organizations
Advisory Services Provided
Financial Planning for Individuals, Financial Planning for Businesses, Education Funding and Planning, Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management
Compliance
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
AAMS®
Securities Licenses
Series 6, Series 63, Series 65
Insurance and Annuity Licenses
Variable Life, Long Term Care, Variable Annuity, HMO, Life, Health, Annuity
Firm Information
Firm's Number of Clients
2648
Assets Managed by Firm
$200,000,000.00
Advisor's Number of Clients
398
Assets Managed by Advisor
$20,000,000
Compensation and Fees
Fee Structure
Fee-Based
Compensation Methods
Based on Assets, Commissions
Fee % Based on Assets
1
Minimum Fee Charged for Managed Accounts
0
Minimum Fee Charged for Hourly Planning Accounts
0
Education
Bachelor of Science - Business Administration
University of Texas at Dallas
08/1994 -05/1996
Disclosures
LPL ADV 2A
https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf
Additional Detailed Disclosures
Securities and Advisory services offered through LPL Financial. A registered investment advisor. Member FINRA & SIPC. (hyperlink FINRA & SIPC) The financial professionals associated with LPL Financial may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state.