Joseph Dale Hermes

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2011 → 08/2018
  Cambridge Investment Research, Inc
  Fairfield, IA
• 01/1979 → Present
  Joe D Hermes Cpa
  Edna, TX
• 07/2011 → 08/2018
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA
• 09/2018 → Present
  Lpl Financial Llc
  Edna, TX

Previous Registrations

• 2011-07-01 → 2018-09-20
  Cambridge Investment Research Advisors, Inc.
  Edna, TX
• 2003-07-23 → 2011-07-05
  Concourse Financial Group Securities, Inc.
  Edna, TX
  Edna, TX

Exams

• 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