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Christopher Eric Herzog

LPl Financial LLC

Wood River, IL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2019-04-11
TX RA APPROVED 2019-04-04
  • IL RA
    APPROVED
    Since 2019-04-11
  • TX RA
    APPROVED
    Since 2019-04-04

Branch Locations

929 E Edwardsville Rd, Wood River, IL 62095-1823 • 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
Raymond James Financial Services, Inc. Edwardsville IL 04/2013 03/2019
Investor Group- Bank Of Edwardsville Edwardsville IL 04/2013 03/2019
Raymond James Financial Services Advisors Inc. Edwardsville IL 04/2013 03/2019
Political Office East Alton IL 03/2014 03/2019
The Bank Of Edwardsville Bethalto IL 04/2013 03/2019
Wood River Township East Alton IL 12/2016 02/2018
St Louis Regional Airport East Alton IL 10/2018 Present
Lpl Financial Llc Wood River IL 03/2019 Present
  • 04/2013 → 03/2019
    Raymond James Financial Services, Inc.
    Edwardsville, IL
  • 04/2013 → 03/2019
    Investor Group- Bank Of Edwardsville
    Edwardsville, IL
  • 04/2013 → 03/2019
    Edwardsville, IL
  • 03/2014 → 03/2019
    Political Office
    East Alton, IL
  • 04/2013 → 03/2019
    The Bank Of Edwardsville
    Bethalto, IL
  • 12/2016 → 02/2018
    Wood River Township
    East Alton, IL
  • 10/2018 → Present
    St Louis Regional Airport
    East Alton, IL
  • 03/2019 → Present
    Wood River, IL
Previous Registrations
  • 2013-04-30 → 2019-03-29
    Belthalto, IL
    Edwardsville, IL
  • 2013-02-13 → 2013-04-29
    O'FAllon, IL
    Town And Country, MO
  • 2004-07-28 → 2013-02-13
    Morgan Keegan & Company, Llc
    St. Louis, MO
    Town And Country, MO
    St. Louis, MO
    O'FAllon, IL
    Alton, IL
  • 2004-03-15 → 2004-08-05
    Union Planters Investment Advisors, Inc.
    East Alton, IL
Other Businesses

1. 10/30/2018 - ST. LOUIS REGIONAL AIRPORT/ OUTSIDE, W-2 EMPLOYMENT/ NOT INVESTMENT RELATED / 1%/ EAST ALTON, IL 2. 06/13/2019 - Herzog Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 06/12/2019 - 160 Hours Per Month/160 Hours During Securities Trading. 3. 3/10/2020 - Wood River Township - Not Investment Related - 49 S 9th St., East Alton IL 62024 - Non-Profit Board Member - Started 02/25/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 4. 8/11/2021 - St. Louis Regional Airport - Not Investment Related - 8 Terminal Dr, East Alton, IL 62024 - Outside/W-2 Employment - Airport commissioner/Treasurer - Start Date: 7/15/2021 - 4 Hours Per Month/0 Hours During Securities Trading - Manage the St. Louis Regional Airport in Bethalto.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-03-12
  • S66 Uniform Combined State Law Examination
    2004-03-12
Other Names
  • Christopher Herzog
  • Chris Herzog

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