Rebecca M. Hergenroeder
HERGENROEDER FINANCIAL ADVISORS
Timonium, MD 21093
Some features on this profile are disabled
CRD#: 2231927
Professional summary
Rebecca Marie Hergenroeder, CFP®, who also goes by Becky Hergenroeder, is a registered financial advisor currently at HERGENROEDER FINANCIAL ADVISORS, INC. located in Timonium, Maryland and LPL FINANCIAL LLC located in Timonium, Maryland.
Rebecca is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Rebecca has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Becky Hergenroeder
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) 1/25/2012: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 1% - Fixed insurance.
(2) 12/5/2014: Hergenroeder Financial Advisors, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
(3) 12/15/2014: No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary - Started 01/01/2015 - 1 Hours Per Month During Securities Trading.
(4) 1/26/2015: Hergenroeder Financial Advisors, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Prepares financial plans only.
(5) 10/15/2015: Hergenroeder Financial Advisors, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - 150 Hours Per Month/140 Hours During Securities Trading - Prepares financial plans and manages assets.
(6) 12/10/2015: Hergenroeder Financial Advisors, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/08/2015 - 3 Hours Per Month During Securities Trading - Insurance for LTC with LTC Partners.
CRS (Client Relationship Summary) - RIA
Click below to view Rebecca Marie Hergenroeder's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1998
Experience
Current
June 29, 1999 - Present
HERGENROEDER FINANCIAL ADVISORS, INC.
Office #1: 1954 Greenspring Drive Suite 230, Timonium, MD 21093RIA
CRD#: 121278
Timonium, MD
Current
July 24, 1998 - Present
LPL FINANCIAL LLC
Office #1: 1954 Greenspring Dr Ste 230, Timonium, MD 21093RIA
BD
CRD#: 6413
Timonium, MD
Past
August 7, 1998 - October 7, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
May 18, 1992 - July 31, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 18, 1992 - July 31, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HF
HERGENROEDER FINANCIAL ADVISORS, INC.
HERGENROEDER FINANCIAL ADVISORS | HERGENROEDER FINANCIAL ADVISORS, INC.
CRD#: 121278 / SEC#: 801-80882
RIA
Registered Investment Advisory firm - (1/26/2015 Approved)Maryland
Registered Investment Advisory firm - (2/26/2015 Terminated)Texas
Registered Investment Advisory firm - (1/29/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(10/28/2019)
RR
Arizona(3/29/1999)
RR
California(10/16/2009)
RR
Connecticut(7/24/1998)
RR
Delaware(7/24/1998)
RR
District of Columbia(1/24/2020)
RR
Florida(7/30/1998)
RR
Georgia(7/24/1998)
RR
Illinois(8/18/1999)
RR
Louisiana(9/12/2024)
RR
Maryland(7/24/1998)
IAR
Maryland(6/29/1999)
RR
Massachusetts(6/18/2001)
RR
Michigan(8/3/2021)
RR
New Jersey(3/29/1999)
RR
New York(6/20/2000)
RR
North Carolina(1/30/2003)
RR
Oregon(5/24/2000)
RR
Pennsylvania(7/24/1998)
RR
South Carolina(2/26/2009)
RR
Tennessee(8/17/2016)
RR
Texas(1/19/2006)
IAR
Texas(12/5/2014)
RR
Virginia(7/24/1998)
RR
West Virginia(7/30/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HF
HERGENROEDER FINANCIAL ADVISORS, INC.
HERGENROEDER FINANCIAL ADVISORS | HERGENROEDER FINANCIAL ADVISORS, INC.
CRD#: 121278 / SEC#: 801-80882
RIA
Registered Investment Advisory firm - (1/26/2015 Approved)Maryland
Registered Investment Advisory firm - (2/26/2015 Terminated)Texas
Registered Investment Advisory firm - (1/29/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1954 Greenspring Drive Suite 230, Timonium, MD 21093
Mailing Address
Phone number
(410) 769-8262
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 648 |
| AUM (Assets Under Management) | $ 282,693,589 |
Red Flags
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Company Information
HERGENROEDER FINANCIAL ADVISORS, INC.
CRD#: 121278Timonium, MD 21093TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
