Falko Hoernicke

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2013 → 01/2019
  Bergquist Wang, Llc
  Santa Barbara, CA
• 01/2019 → 09/2021
  Wells Fargo Bank, Na
  Santa Barbara, CA
• 09/2021 → 04/2026
  U.S. Bancorp
  Santa Barbara, CA
• 04/2026 → Present
  Lpl Financial Llc
  Santa Barbara, CA

Previous Registrations

• 2021-06-29 → 2021-07-26
  Wells Fargo Clearing Services, Llc
  St. Louis, MO
  Santa Barbara, CA
• 2018-03-27 → 2019-02-12
  Wang Financial, Llc
  Santa Barbara, CA

Other Businesses

1. 04/2026 - MGF Treasure Chest - Business Entity For Tax/Investment Purposes Only - Not Inv Related - 0 Hour(s)/Month - 0 Hour(s) During Trading - Santaarbara, CA, 93103 - OBA Start Date: 04/01/2026 2. 04/2026 - HIGHWATER WEALTH - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 160 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 4/13/2026

Designations

• Certified Financial Planner
• Chartered Financial Analyst