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Joseph Dale Hermes

LPl Financial LLC

Victoria, TX

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-09-05
  • TX RA
    APPROVED
    Since 2018-09-05

Branch Locations

1717 N. Laurent, Ste. 103, Victoria, TX 77901 • 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
OrganizationCityStateFromTo
Cambridge Investment Research, Inc Fairfield IA 07/2011 08/2018
Joe D Hermes Cpa Edna TX 01/1979 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 07/2011 08/2018
Lpl Financial Llc Edna TX 09/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-17
S63 Uniform Securities Agent State Law Examination 1998-02-20
  • S66 Uniform Combined State Law Examination
    2002-06-17
  • S63 Uniform Securities Agent State Law Examination
    1998-02-20
Other Names
  • Joe Hermes
  • Joseph Hermes

View on SEC IAPD

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Other Offices

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · VICTORIA, TX
EDWARD JONES · Victoria, TX
ALLSTATE FINANCIAL ADVISORS, LLC · Victoria, TX
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER · VICTORIA, TX
BAUCOM WEALTH MANAGEMENT LLC · VICTORIA, TX
OSAIC WEALTH, INC. · Victoria, TX
STATE FARM INVESTMENT MANAGEMENT CORP. · Victoria, TX
SATHER FINANCIAL GROUP, INC. · VICTORIA, TX

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