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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-11-14
  • CA RA
    APPROVED
    Since 2024-11-14

Branch Locations

Hawthorne, CA • United States

15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403 • 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
OrganizationCityStateFromTo
National Planning Corporation Irvine CA 03/2004 11/2017
Trilogy Capital, Inc Irvine CA 01/2016 03/2018
Lpl Financial Llc Irvine CA 11/2017 04/2018
Trilogy Financial Services Irvine CA 01/2004 03/2018
Axa Advisors, Llc New York NY 05/2018 06/2020
Equitable Advisors, Llc New York NY 05/2018 02/2021
Pruco Securities Llc Los Angeles CA 04/2021 11/2024
The Prudential Insurance Co. Of America Los Angeles CA 04/2021 Present
Lpl Enterprise, Llc Los Angeles CA 11/2024 Present
  • 03/2004 → 11/2017
    National Planning Corporation
    Irvine, CA
  • 01/2016 → 03/2018
    Irvine, CA
  • 11/2017 → 04/2018
    Irvine, CA
  • 01/2004 → 03/2018
    Trilogy Financial Services
    Irvine, CA
  • 05/2018 → 06/2020
    Axa Advisors, Llc
    New York, NY
  • 05/2018 → 02/2021
    New York, NY
  • 04/2021 → 11/2024
    Los Angeles, CA
  • 04/2021 → Present
    The Prudential Insurance Co. Of America
    Los Angeles, CA
  • 11/2024 → Present
    Los Angeles, CA
Previous Registrations
Other Businesses

1) 02/19/2025 - Emily Hernandez - Act in a Fiduciary Capacity - Non INV Related - At Alhambra, CA - Start Date 01/01/2023 - 6hrs/mth - 6hrs During Trading 2) 02/19/2025 - Non sponsored health insurance - Non-Variable Insurance - Health Insurance sales, service or advice, Insurance sales, service or advice, Health insurance, sales, service - INV Related - At Hawthorne, CA - Start Date 10/12/2021 - 2hrs/mth - 2hrs During Trading 3) 02/19/2025 - Non sponsored appointments for renewals and service only - Non-Variable Insurance Commission Trails - Representing existing insurance clients - INV Related - At Hawthorne, CA - Start Date 03/01/2006 - 0hrs/mth - 0hrs During Trading 4) 02/19/2025 - LGBTQ Attorneys and Allies Bar Association - Non-Profit Board Member - Non INV Related - At Long Beach, CA - Start Date 02/02/2021 - 4hrs/mth - 0hrs During Trading 5) 02/19/2025 - LGBTQ Attorneys and Allies Bar Association - For-Profit Board Member - Non attorney board member /Board Services - Not INV Related - At Long Beach, CA - Start Date 02/02/2021 - 4hrs/mth - 4hrs During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-04-06
S63 Uniform Securities Agent State Law Examination 2004-04-09
  • S65 Uniform Investment Adviser Law Examination
    2012-04-06
  • S63 Uniform Securities Agent State Law Examination
    2004-04-09
Other Names
  • Michael Hernandez
  • Michael D. Hernandez
  • Michael David Hernandez

View on SEC IAPD

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