Lisa A. Hergenroeder
HERGENROEDER FINANCIAL ADVISORS
Timonium, MD 21093
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CRD#: 2390965
Professional summary
Lisa Ann Hergenroeder, AIF®, CFP®, ChFC®, CLU® is a registered financial advisor currently at HERGENROEDER FINANCIAL ADVISORS, INC. located in Timonium, Maryland and LPL FINANCIAL LLC located in Timonium, Maryland.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Lisa has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
None
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. 02/03/2003 - NON-VARIABLE INSURANCE - INV REL - SELLING LONG TERM CARE AND TERM LIFE INSURANCE
2. 02/18/2005 - REGISTERED INVESTMENT ADVISOR - HERGENROEDER FINANCIAL ADVISORS INC. - TIMONIUM, MD
3. 08/19/2013 - Hergenroeder Financial Advisors, Inc. - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business)
4. 01/26/2015 - Hergenroeder Financial Advisors, Inc. - INV REL - 1954 Greenspring Drive, Suite 230, Timonium, MD 21093 - Registered Investment Advisor Hybrid - START 01/08/2015 - 150 HOURS PER MONTH DURING TRADING - e provide financial plans for fixed fees as well as hourly advice and also provide asset management services
5. 01/05/2016 - Hergenroeder Financial Advisors, Inc. - INV REL - 1954 Greenspring Drive, Suite 230, Timonium, MD 21093 - Non-Variable Insurance - START 12/09/15 - 3 HOURS PER MONTH - insurance agent, gathering information about clients and determining most suitable quotes to run and products
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Ann 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: 2002
Experience
Current
February 4, 2003 - Present
HERGENROEDER FINANCIAL ADVISORS, INC.
Office #1: 1954 Greenspring Drive Suite 230, Timonium, MD 21093RIA
CRD#: 121278
Timonium, MD
Current
January 31, 2003 - Present
LPL FINANCIAL LLC
Office #1: 1954 Greenspring Dr Ste 230, Timonium, MD 21093RIA
BD
CRD#: 6413
Timonium, MD
Past
January 31, 2003 - March 3, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
TOWSON, MD
Past
August 8, 2001 - February 10, 2003
BIRCHTREE FINANCIAL SERVICES LLC
BD
CRD#: 15014
MINNEAPOLIS, MN
Past
July 24, 2001 - February 10, 2003
CHOREO, LLC
RIA
CRD#: 111221
BALTIMORE, MD
Past
October 11, 1993 - November 25, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 11, 1993 - November 25, 1997
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
Arizona(10/29/2009)
RR
California(2/8/2010)
RR
Delaware(11/29/2004)
RR
Florida(6/20/2005)
RR
Georgia(1/14/2008)
RR
Maryland(1/31/2003)
IAR
Maryland(2/4/2003)
RR
New Jersey(6/2/2005)
RR
North Carolina(1/31/2003)
RR
Pennsylvania(1/7/2004)
RR
South Carolina(10/6/2020)
RR
Tennessee(4/10/2025)
RR
Virginia(4/21/2009)
RR
West Virginia(7/19/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
