William K. Hendrix
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.
William Kelly Hendrix, who also goes by Bill Hendrix, William K Hendrix, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2019 - December 31, 2020
LPL FINANCIAL LLC
March 20, 2017 - November 20, 2019
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
July 23, 2007 - July 6, 2017
LPL FINANCIAL LLC
July 20, 2007 - December 31, 2020
LPL FINANCIAL LLC
June 6, 2005 - July 23, 2007
WELLS FARGO INVESTMENTS, LLC
June 3, 2005 - July 23, 2007
WELLS FARGO INVESTMENTS, LLC
July 1, 1999 - June 20, 2005
CITIGROUP GLOBAL MARKETS INC.
May 28, 1999 - June 20, 2005
CITIGROUP GLOBAL MARKETS INC.
September 30, 1994 - May 28, 1999
AMERICAN INVESTMENT SERVICES, INC.
June 5, 1992 - October 11, 1994
ROBERT THOMAS SECURITIES, INC
August 21, 1990 - June 5, 1992
WALNUT STREET SECURITIES, INC.
May 31, 1989 - August 22, 1990
FIRST AFFILIATED SECURITIES
September 11, 1987 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
December 22, 1986 - September 8, 1987
D.A. DAVIDSON & CO.
February 28, 1984 - October 14, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
