John Stubbs, financial advisor Smithfield NC
83 score

John Stubbs

CRD Number: 1079923
Current Firm: Lpl Financial LLC

John Stubbs (CRD# 1079923) is an Investment Advisor Representative working at Lpl Financial LLC in Smithfield, NC and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial LLC Smithfield, NC Nov 2012 - Current 4
Morgan Stanley Smith Barney Raleigh, NC Jun 2009 - Nov 2012 3
Citigroup Global Markets Inc. Raleigh, NC Feb 2006 - Nov 2012 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1982
S65 NASAA Investment Advisors Law Examination Aug 2011
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for John D. Stubbs
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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