Diane Jean Herring

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
PA	RA	APPROVED	2025-05-01

PA RA
APPROVED

Since 2025-05-01

Branch Locations

Devon, PA • 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
H. Beck, Inc.	Rockville	MD	07/2003	03/2021
Grove Point Advisors, Llc	Rockville	MD	04/2021	05/2025
Grove Point Investments, Llc	Rockville	MD	04/2021	05/2025
Lpl Financial Llc	Devon	PA	05/2025	Present

07/2003 → 03/2021

H. Beck, Inc.

Rockville, MD
04/2021 → 05/2025

Grove Point Advisors, Llc

Rockville, MD
04/2021 → 05/2025

Grove Point Investments, Llc

Rockville, MD
05/2025 → Present

Lpl Financial Llc

Devon, PA

Previous Registrations

2021-04-01 → 2025-05-01

Grove Point Advisors, Llc

Rockville, MD

Lancaster, PA

Rockville, MD

Devon, PA
2020-07-07 → 2021-04-01

Grove Point Investments, Llc

Rockville, MD

Lancaster, PA

Lancaster, PA

Devon, PA

Other Businesses

1. 5/2025- Herring Financial Management- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s)- 160 Hrs Per Mnth/Trading- Start Date 03/14/2025

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1981-12-18

S63 Uniform Securities Agent State Law Examination

1981-12-18

Other Names

Diane Jean Mcdevitt
Diane Herring
Diane Jean Oconnor

View on SEC IAPD