Christopher Allin Herring

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	2024-11-04
VA	RA	APPROVED	2024-11-04

TX RA
APPROVED

Since 2024-11-04
VA RA
APPROVED

Since 2024-11-04

Branch Locations

1640 Boro Place 4Th Fl Ste 559, Mclean, VA 22102 • 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
Metlife Securities Inc	Falls Church	VA	12/2011	03/2017
Massmutual Life Insurance Co	Mclean	VA	07/2016	11/2024
Mml Investors Services, Llc	Mclean	VA	03/2017	11/2024
Lpl Financial Llc	Mclean	VA	11/2024	Present

12/2011 → 03/2017

Metlife Securities Inc

Falls Church, VA
07/2016 → 11/2024

Massmutual Life Insurance Co

Mclean, VA
03/2017 → 11/2024

Mml Investors Services, Llc

Mclean, VA
11/2024 → Present

Lpl Financial Llc

Mclean, VA

Previous Registrations

2017-03-25 → 2024-11-07

Mml Investors Services, Llc

Falls Church, VA

Mclean, VA

Leesburg, VA
2012-03-16 → 2017-03-25

Msi Financial Services, Inc.

Falls Church, VA
2009-01-02 → 2010-01-04

Raymond James Financial Services Advisors, Inc

Arlington, VA
2007-09-14 → 2009-01-02

Raymond James Financial Services, Inc.

Arlington, VA

Vienna, VA
2005-11-22 → 2007-08-10

Waddell & Reed

Vienna, VA
2005-08-02 → 2005-12-08

Signator Investors, Inc.

Mclean, VA

Other Businesses

1) 10/2024 - Herring Wealth Management / DBA for LPL Business (entity for LPL business) / Inv. Related / Mclean. VA 22102 / Start date 11/04/2024 - 10 Hrs per month - 100% Time Spent 2) 10/2024 - Non-Variable Insurance / Inv. Related / Mclean. VA 22102 / Start date 11/04/2024 4 Hrs per month - 10% Time Spent 3) 10/2024 - Independent Insurance Agent / Other / Inv. Related / Mclean. VA 22102 / Start date - 11/04/2024 - 4 Hrs per month - 1% Time Spent 4) 10/2024 - Christopher Herring LLC / Business Entity For Tax/Investment Purposes Only / Non Inv. Related / owner / Mclean, VA 22102 / Start date 11/04/2024 5) 06/11/2026 - Advisor Link - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/04/2024 - 1 hour per month/ during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-03-15
S63	Uniform Securities Agent State Law Examination	2003-07-30

S65 Uniform Investment Adviser Law Examination

2012-03-15
S63 Uniform Securities Agent State Law Examination

2003-07-30

View on SEC IAPD