Christopher Karl Brenner

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
NY	RA	APPROVED	2023-09-13
TX	RA	APPROVED	2022-01-25
IL	RA	APPROVED	2019-12-16

NY RA
APPROVED

Since 2023-09-13
TX RA
APPROVED

Since 2022-01-25
IL RA
APPROVED

Since 2019-12-16

Branch Locations

White Plains, NY • 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
Mercer Allied Company, L.P.	Lake Forest	IL	09/1997	05/2019
Lpl Financial	Lincolnshire	IL	12/2019	Present
Unemployed	Lincolnshire	IL	05/2019	12/2019

09/1997 → 05/2019

Mercer Allied Company, L.P.

Lake Forest, IL
12/2019 → Present

Lpl Financial

Lincolnshire, IL
05/2019 → 12/2019

Unemployed

Lincolnshire, IL

Previous Registrations

2006-01-30 → 2019-05-31

Goldman Sachs Wealth Services, L.P.

Deerfield, IL

Lake Forest, IL

Other Businesses

1)12/2019 - DBA for LPL Business (entity for LPL business) - Allegiance Wealth Management, LLC. - 100% - INVESTMENT RELATED - LINCOLNSHIRE, IL 60069 2)12/2019 - Non-Variable Insurance - Allegiance Wealth Management, LLC. - 5% - INVESTMENT RELATED - LINCOLNSHIRE, IL 60069

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-12-15
S63	Uniform Securities Agent State Law Examination	1998-09-25

S65 Uniform Investment Adviser Law Examination

2005-12-15
S63 Uniform Securities Agent State Law Examination

1998-09-25

View on SEC IAPD