Karen Sue Hermerath Harvey

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-03-13

TX RA
APPROVED_RES

Since 2014-03-13

Branch Locations

Scottsdale, AZ • 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	Scottsdale	AZ	08/1993	Present

08/1993 → Present

Lpl Financial Llc

Scottsdale, AZ

Other Businesses

(1) 11/03/2014: Blue Cross Blue Shield - Non-Variable Insurance - Investment Related - 7967 E Montebello Ave Scottsdale, AZ 85250 - START 10/27/2014 - 1 HOUR PER MONTH - Direct with company (2) 03/05/2016: NO BUSINESS NAME - Real Estate Rental - Not Investment Related - 5719 N 79th Way Scottsdale AZ 85250 - START 03/01/2016 - 1 HOUR PER MONTH (3) 10/24/2016: Snowy Mountain Lodge LLC - Business Owner - Investment Related - 38721 State Route 373, Greer, AZ 85927 - Start 01/01/2017 - 60 Hr/Mo; 0 Hour(s) During Securities Trading - Cabin Rental and restaurant income. Co-Owner. (4) 4/13/2017: Ohio National - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/01/2017 - 1 Hours Per Month During Securities Trading. 5). 05/17/2019 - Exceptional Risk Advisors - Investment related - At reported bus location(s) - Non-Variable Insurance - start date:05/17/2019 - 0 hrs/mo - 0 hrs during trading - agent Exceptional Risk Advisors Paid at the carrier level Not owner.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1986-11-06

S63 Uniform Securities Agent State Law Examination

1986-11-06

Other Names

Karen Sue Hermerath

View on SEC IAPD