Marta Morningstar Herzog

LPl Financial LLC

Newport Beach, CA

Lake Forest, CA

CRD 1019594

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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
TX	RA	APPROVED_RES	2019-07-18
CA	RA	APPROVED	2004-09-13

TX RA
APPROVED_RES

Since 2019-07-18
CA RA
APPROVED

Since 2004-09-13

Branch Locations

5015 Birch St, Ste #120, Newport Beach, CA 92660 • United States

Lake Forest, 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 Llc	Irvine	CA	08/2004	Present

08/2004 → Present

Lpl Financial Llc

Irvine, CA

Previous Registrations

1999-06-10 → 2003-11-28

Financial West Group

Newport Beach, CA

Other Businesses

(1) 09/29/2009 - NON-VARIABLE INSURANCE - TIME SPENT 2% - NEWPORT BEACH, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-05-19

S66 Uniform Combined State Law Examination

1999-05-19

Other Names

Marta Leigh Morningstar Herzog

View on SEC IAPD

Nearby Firms

OKAPI CAPITAL, LLC

MIG CAPITAL, LLC

Nearby Investors

WILLIAM ERIC BLANTON

Travis L. Shirley

Michael Schanna

Nearby Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA

OCVC, LLC · NEWPORT BEACH, CA

MIG CAPITAL, LLC · NEWPORT BEACH, CA

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