Herbert Allen Andrew

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

• 04/2011 → Present
  Lpl Financial Llc
  Greensboro, NC

Previous Registrations

• 2009-06-01 → 2011-02-10
  Morgan Stanley
  Greensboro, NC
  Greensboro, NC
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Greensboro, NC
• 2003-10-08 → 2007-04-02
  Morgan Stanley Dw Inc.
  Greensboro, NC
  Greensboro, NC

Other Businesses

1. 04/20/2011 - INNOVATIVE FINANCIAL SOLUTIONS - IVN REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 2. 12/14/2011 - NO BUSINESS NAME - ACT IN A FIDUCIARY CAPACITY - NOT INV REL-AT REPORTED BUSINESS LOCATION(S)-Craig Andrew Estes, Grandson - 0% TIME SPENT.

Exams

• S66 Uniform Combined State Law Examination
  2003-08-04

Other Names

• Drews Andrew
• Allen Andrew