Steven Robert Herrmann

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

• 01/2015 → 03/2020
  Metlife Securities Inc.
  Chicago, IL
• 07/2016 → 03/2020
  Massachusetts Mutual Life Insurance Company
  Springfield, MA
• 03/2017 → 03/2020
  Mml Investors Services, Llc
  Chicago, IL
• 03/2020 → Present
  Lpl Financial, Llc
  Chicago, IL

Previous Registrations

• 2017-03-25 → 2020-03-12
  Mml Investors Services, Llc
  Chicago, IL
  Chicago, IL
• 2015-01-02 → 2017-03-25
  Msi Financial Services, Inc.
  Chicago, IL
  Chicago, IL
  Springfield, MA
• 2007-03-01 → 2015-01-02
  New England Securities
  Chicago, IL
  Chicago, IL

Other Businesses

1. 03/11/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 2007 - 16 Hours Per Month - Time Spent 10%. 2. 07/7/2021 - The AdvisoryOne Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/11/2020 - 160 Hours Per Month During Securities Trading. 3. 06/03/2026 - Steven Herrmann, Strategic Coach - Outside/W-2 Employment - Not Investment Related - Cary. IL - Start Date 01/01/2018 - 40 hours per month

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-03-09
• S63 Uniform Securities Agent State Law Examination
  1988-02-05

Designations

• Certified Financial Planner