Nathan John Herricks

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

• 02/2015 → Present
  Lpl Financial, Llc
  Fort Mill, SC

Other Businesses

1. 2/16/2018 - FMSD Transportation - Not Investment Related - 2233 Deerfield Dr, Fort Mill SC 29715 - Outside/W-2 Employment - Bus Driver - Started 01/22/2018 - 60 Hours Per Month/0 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2024-09-11
• S63 Uniform Securities Agent State Law Examination
  2017-11-21