Andrew Dennis Hallett

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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 Enterprise, Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-08-26

CA RA
APPROVED

Since 2026-08-26

Branch Locations

Berkeley, CA • United States

4370 La Jolla Village Drive Suite 310, San Diego, CA 92122-1250 • 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
Two Magnolias	London		11/2024	04/2025
Voya Financial	Redwood City	CA	05/2025	11/2025
N/A	Concord	CA	06/2010	07/2023
University Of California, Berkeley	Berkeley	CA	08/2023	Present
Lpl Enterprise Llc	San Diego	CA	04/2026	Present

11/2024 → 04/2025

Two Magnolias

London
05/2025 → 11/2025

Voya Financial

Redwood City, CA
06/2010 → 07/2023

N/A

Concord, CA
08/2023 → Present

University Of California, Berkeley

Berkeley, CA
04/2026 → Present

Lpl Enterprise Llc

San Diego, CA

Other Businesses

1. 04/13/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Berkeley, CA - INV REL - Start Date: 04/08/2026 - 160 Hrs/Mth - 160 Hrs During Trading 2. 04/13/2026 - ANDREW HALLETT N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Berkeley, CA - INV REL - Start Date: 04/08/2026 - 160 Hrs/Mth - 160 Hrs During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-08-26

S66 Uniform Combined State Law Examination

2026-08-26

View on SEC IAPD