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Mark Alan Haenny

LPl Financial LLC

Loveland, CO

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2019-07-11
TX RA APPROVED_RES 2019-07-11
  • CO RA
    APPROVED
    Since 2019-07-11
  • TX RA
    APPROVED_RES
    Since 2019-07-11

Branch Locations

5705 N Garfield Ave., Ste B109, Loveland, CO 80538 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
First Allied Securities, Inc. San Diego CA 01/2011 01/2017
First Allied Advisory Services, Inc. Chesterfield MO 07/2012 01/2017
Cetera Advisors Llc Denver CO 01/2017 07/2019
Haenny Asset Management Loveland CO 06/2017 Present
Lpl Financial San Diego CA 06/2019 Present
  • 01/2011 → 01/2017
    First Allied Securities, Inc.
    San Diego, CA
  • 07/2012 → 01/2017
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 01/2017 → 07/2019
    Cetera Advisors Llc
    Denver, CO
  • 06/2017 → Present
    Haenny Asset Management
    Loveland, CO
  • 06/2019 → Present
    Lpl Financial
    San Diego, CA
Previous Registrations
  • 2017-01-09 → 2019-07-16
    Cetera Advisors Llc
    Loveland, CO
    Loveland, CO
    Greenwood Village, CO
    Loveland, CO
  • 2012-07-02 → 2017-02-10
    First Allied Advisory Services, Inc.
    Loveland, CO
    Chesterfield, MO
    Fort Collins, CO
    Loveland, CO
  • 2011-01-14 → 2012-07-02
    First Allied Securities, Inc.
    Loveland, CO
    San Diego, CA
    San Diego, CA
  • 2006-01-18 → 2011-01-31
    Boulder, CO
    Fort Collins, CO
  • 2004-04-21 → 2005-05-04
    Wells Fargo Investments, Llc
    Boulder, CO
Other Businesses

1)06/2017 - DBA for LPL Business (entity for LPL business) - Haenny Asset Management - 100% - INVESTMENT RELATED - LOVELAND, CO 80538 2)09/2011 - Business Entity For Tax/Investment Purposes Only - Mark A. Haenny LLC - 100% - INVESTMENT RELATED - LOVELAND, CO 80538 3)01/2017 - Non-Variable Insurance - Mark Haenny - 1% - INVESTMENT RELATED - LOVELAND, CO 80538

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-16
  • S66 Uniform Combined State Law Examination
    2004-04-16

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