Kimberly Janemarkel Herman

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-01-14
MD	RA	APPROVED	2003-04-17

TX RA
APPROVED_RES

Since 2020-01-14
MD RA
APPROVED

Since 2003-04-17

Branch Locations

Bethesda, MD • 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
Lpl Financial, Llc	Bethesda	MD	04/2003	Present

04/2003 → Present

Lpl Financial, Llc

Bethesda, MD

Previous Registrations

1997-06-18 → 2003-04-28

Citigroup Global Markets Inc.

Bethesda, MD

Other Businesses

1. 10/25/2007: Yuma Center Studay, Inc - Not Investment Related - Community, Civic and Charitable Board - Time Spent 2% - Board member of a non-profit organization that would be a Center for Women and Family Development. 2. 10/16/2008: KMH FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 3/20/2017 - LTCi Partners, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 03/17/2017 - 2 Hours Per Month/1 Hours During Securities Trading - Fixed insurance.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-12-13
S65	Uniform Investment Adviser Law Examination	1996-12-13

S63 Uniform Securities Agent State Law Examination

1996-12-13
S65 Uniform Investment Adviser Law Examination

1996-12-13

View on SEC IAPD