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1954 Greenspring Drive Suite 230, Timonium, MD 21093 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-12-05 |
| MD | RA | APPROVED | 1999-06-29 |
Branch Locations
1954 Greenspring Drive Suite 230, Timonium, MD 21093 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Timonium | MD | 07/1998 | Present |
| Hergenroeder Financial Advisors, Inc. | Timonium | MD | 06/1999 | Present |
(1) 1/25/2012: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 1% - Fixed insurance. (2) 12/5/2014: Hergenroeder Financial Advisors, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). (3) 12/15/2014: No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary - Started 01/01/2015 - 1 Hours Per Month During Securities Trading. (4) 1/26/2015: Hergenroeder Financial Advisors, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Prepares financial plans only. (5) 10/15/2015: Hergenroeder Financial Advisors, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - 150 Hours Per Month/140 Hours During Securities Trading - Prepares financial plans and manages assets. (6) 12/10/2015: Hergenroeder Financial Advisors, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/08/2015 - 3 Hours Per Month During Securities Trading - Insurance for LTC with LTC Partners.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1993-04-20 |
| S65 | Uniform Investment Adviser Law Examination | 1992-06-04 |
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