Herbert L. Brinskelle
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Herbert Ludwig Brinskelle, who also goes by Herb Brinskelle, Herbert L Brinskelle, Herbert Brinskelle, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1983. Herbert had worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2025 - August 7, 2025
LPL ENTERPRISE, LLC
February 11, 2025 - August 7, 2025
LPL ENTERPRISE, LLC
July 21, 2016 - December 31, 2022
ALLSTATE FINANCIAL ADVISORS, LLC
July 21, 2016 - December 31, 2022
ALLSTATE FINANCIAL SERVICES, LLC
February 13, 2013 - June 16, 2016
WELLS FARGO CLEARING SERVICES, LLC
February 13, 2013 - June 16, 2016
WELLS FARGO CLEARING SERVICES, LLC
July 12, 2010 - January 29, 2013
PRUCO SECURITIES, LLC.
February 2, 2010 - January 29, 2013
PRUCO SECURITIES, LLC.
February 11, 2009 - February 3, 2010
MSI FINANCIAL SERVICES, INC.
September 12, 1983 - February 12, 2004
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 5/1/2025
General Securities Representative ExaminationCurrent Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
