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Derek Hofeling

LPl Financial LLC

San Diego, CA

San Diego, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-11-05
  • CA RA
    APPROVED
    Since 2019-11-05

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

San Diego, CA • 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
Td Ameritrade Omaha NE 01/2017 08/2017
Student Omaha NE 09/2016 12/2016
Lpl Financial Llc San Diego CA 09/2017 Present
  • 01/2017 → 08/2017
    Td Ameritrade
    Omaha, NE
  • 09/2016 → 12/2016
    Student
    Omaha, NE
  • 09/2017 → Present
    Lpl Financial Llc
    San Diego, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-11-04
S63 Uniform Securities Agent State Law Examination 2017-02-28
  • S65 Uniform Investment Adviser Law Examination
    2019-11-04
  • S63 Uniform Securities Agent State Law Examination
    2017-02-28
Other Names
  • Derek R Hofeling
  • Derek Royce Hofeling
  • Derek Hofeling

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
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CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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