Kara Nicole Case

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

• 11/2015 → 07/2017
  Jpmorgan Securities Llc
  Scottsdale, AZ
• 11/2015 → 07/2017
  Jp Morgan Chase Bank Na
  Scottsdale, AZ
• 08/2017 → 12/2019
  Centaurus Financial Inc.
  Anaheim, CA
• 12/2019 → Present
  Lpl Financial, Llc
  Auburn Hills, MI

Previous Registrations

• 2017-10-23 → 2019-12-04
  Centaurus Financial, Inc.
  Auburn Hills, MI
  Auburn Hills, MI

Other Businesses

1. 12/04/2019 - HFG/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 90%/ AUBURN HILLS, MI 2. 12/04/2019 - HERBERT FINANCIAL GROUP LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 90%/ AUBURN HILLS, MI 3. 12/17/2024 - KNC Financial - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2025 - 160 Hours per month/ during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-10-20
• S63 Uniform Securities Agent State Law Examination
  2015-12-28

Designations

• Certified Financial Planner

Other Names

• Kara Herbert
• Kara Nicole Herbert