Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JESSE THURBER
JESSE A THURBER, JESSE ANDREWS MURPHY THURBER
CRD#: 5557180
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 599 E COLORADO BLVD
PASADENA, CA 91101
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - 2014 (5 years)2 FIRMS2015 - 2023 (8 years)2 FIRMS2023 - Present (1 year)
Disclosure(s)
View By:
2/19/2005
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 4/30/2024
B
Missouri 7/19/2023
B
Arizona 7/19/2023
B
Nevada 7/19/2023
IA
Arizona 7/19/2023
IA
Nevada 7/19/2023
B
California 7/19/2023
B
New York 7/19/2023
IA
California 7/19/2023
B
Utah 7/19/2023
B
Colorado 7/19/2023
IA
Utah 7/19/2023
IA
Colorado 7/19/2023
B
Washington 7/19/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
599 E COLORADO BLVD, PASADENA, CA 91101
300 E COLORADO BLVD #140, PASADENA, CA 91101
Registered with this firm since 7/19/2023
B
LPL FINANCIAL LLC (CRD#:6413)
599 E COLORADO BLVD, PASADENA, CA 91101
300 E COLORADO BLVD #140, PASADENA, CA 91101
Registered with this firm since 7/19/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/09/2015 - 07/19/2023 BANCWEST INVESTMENT SERVICES, INC. (BWIS) (CRD#:29357) PASADENA, CA
B
 01/12/2015 - 07/19/2023 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) PASADENA, CA
IA
 03/17/2009 - 12/26/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) INDIAN WELLS, CA
B
 02/20/2009 - 12/26/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) INDIAN WELLS, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.