Lawrence Ming Hoey

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
CA	RA	APPROVED	2012-08-02

CA RA
APPROVED

Since 2012-08-02

Branch Locations

Diamond Bar, 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

Organization	City	State	From	To
Lpl Financial	Orange	CA	08/2012	Present

08/2012 → Present

Lpl Financial

Orange, CA

Previous Registrations

2012-07-05 → 2012-08-02

Pfs Investments Inc.

Chino, CA

Redlands, CA

Upland, CA

Upland, CA

Other Businesses

1. 7/26/2018 - Hoey Consulting - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 05/24/2018 - 0 Hours Per Month/0 Hours During Securities Trading - LPL Financial revenue exclusively for tax purposes only. 2. 07/06/2023 - Hoey Investment Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 07/05/2023 - 160 Hours Per Month/ 7 Hours During Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-06-09
S63	Uniform Securities Agent State Law Examination	2005-09-10

S65 Uniform Investment Adviser Law Examination

2012-06-09
S63 Uniform Securities Agent State Law Examination

2005-09-10

View on SEC IAPD