Kurt Christopher Gruenberger

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	2011-11-03

TX RA
APPROVED

Since 2011-11-03

Branch Locations

Fulshear, TX • United States

3730 Kirby Dr Ste 1200, Houston, TX 77098 • 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
Lpl Financial	Houston	TX	10/2011	Present

10/2011 → Present

Lpl Financial

Houston, TX

Other Businesses

1. 11/14/2011 - KG FINANCIAL SERVICES - DBA ONLY. 2. 10/18/2012 - NON-VARIABLE INSURANCE TRAILS ONLY - I INHERITED SOME CLIENTS WHO HAVE MIDLAND LIFE INSURANCE POLICIES, I WOULD LIKE TO SERVICE THESE CLIENTS AND HAVE NO PLANS TO WRITE NEW BUSINESS AT THIS TIME. - TIME SPENT 2% - HOUSTON, TX 3. 12/10/2012: DBA ONLY / CUELLAR FINANCIAL GROUP/ HOUSTON, TX. 4. 2/28/2013: NON-VARIABLE INSURANCE - KG FINANCIAL SERVICES - SOLICIT NON-VARIABLE LIFE INSURANCE AND FIXED ANNUITIES THROUGH MIDLAND NATIONAL LIFE IF THE PRODUCT MEET THE SPECIFIC NEEDS OF MY CLIENTS. APPOINTED WITH MIDLAND NATIONAL LIFE AS AN GENERAL AGENT. - TIME SPENT 20% - HOUSTON, TX.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-11-02
S63	Uniform Securities Agent State Law Examination	2000-05-10

S65 Uniform Investment Adviser Law Examination

2011-11-02
S63 Uniform Securities Agent State Law Examination

2000-05-10

View on SEC IAPD