Daniel James Hocking

LPl Financial LLC

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Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2026-08-18
TX	RA	APPROVED	2026-08-18

MN RA
APPROVED

Since 2026-08-18
TX RA
APPROVED

Since 2026-08-18

Branch Locations

910 Inwood Avenue N, Oakdale, MN 55128 • United States

1055 Lpl Way, Fort Mill, SC 29715 • United States

910 Inwood Avenue N, Oakdale, MN 55128 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets	St Paul	MN	05/2009	08/2026
City National Bank	Saint Paul	MN	07/2017	08/2026
Lpl Financial Llc	Oakdale	MN	08/2026	Present

05/2009 → 08/2026

Rbc Capital Markets

St Paul, MN
07/2017 → 08/2026

City National Bank

Saint Paul, MN
08/2026 → Present

Lpl Financial Llc

Oakdale, MN

Previous Registrations

2009-05-12 → 2026-08-26

Rbc Capital Markets, Llc

St. Paul, MN

Inver Grove Heights, MN

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-05-21
S63	Uniform Securities Agent State Law Examination	2001-03-14

S65 Uniform Investment Adviser Law Examination

2001-05-21
S63 Uniform Securities Agent State Law Examination

2001-03-14

View on SEC IAPD

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