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James Lepore Resigns from LPL Financial: Allegations
Wooster, Ohio financial advisor James Lepore (CRD# 6714332) recently resigned from his former member firm, Edward Jones, in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with LPL Financial, doing business as Cascade Financial.
Mr. Lepore’s BrokerCheck report discloses his resignation from Edward Jones. It states that he voluntarily resigned while under review by the firm in connection with allegations that he “assisted with the purchase of an investment not eligible for purchase at Edward Jones.” No additional information about the allegations is available.
A website for Mr. Lepore’s advisory business describes his partnership with LPL Financial, which he notes was founded in 1989. “Embracing the future with unwavering confidence, you stride confidently into a realm where cutting-edge technology intertwines with your aspirations,” the website’s “Ideal Clients” section states. “As the digital landscape evolves, so too does your financial journey, guided by a symphony of innovation and expertise.”
According to the Financial Industry Regulatory Authority, James Lepore holds seven years of securities industry experience. Based in Wooster, Ohio, he has been a broker and an investment advisor with LPL Financial since January 2024. He was previously registered with Edward Jones in Mount Vernon, Washington from 2016 until February 2024. His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, California, Ohio, Tennessee, Texas, Vermont, Virginia, and Washington. (Information current as of February 10, 2024.)
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