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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Ann Hergenroeder's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2002

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

February 4, 2003 - Present

HERGENROEDER FINANCIAL ADVISORS, INC.

Office #1: 1954 Greenspring Drive Suite 230, Timonium, MD 21093

RIA

CRD#: 121278

Timonium, MD

Current

January 31, 2003 - Present

LPL FINANCIAL LLC

Office #1: 1954 Greenspring Dr Ste 230, Timonium, MD 21093

RIA

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

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

CRD#: 6321

MINNEAPOLIS, MN

Past

October 11, 1993 - November 25, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(10/29/2009)

California
(2/8/2010)

Delaware
(11/29/2004)

Florida
(6/20/2005)

Georgia
(1/14/2008)

Maryland
(1/31/2003)

IAR

Maryland
(2/4/2003)

New Jersey
(6/2/2005)

North Carolina
(1/31/2003)

Pennsylvania
(1/7/2004)

South Carolina
(10/6/2020)

Tennessee
(4/10/2025)

Virginia
(4/21/2009)

West Virginia
(7/19/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/10/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/5/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PLAIN ENGLISH BROCHURE HERGENROEDER FINANCIAL ADVISORS, INC (2/4/2026)

Regulatory assets under management

Total Number of Accounts	624
AUM (Assets Under Management)	$ 304,505,678

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Lisa A. Hergenroeder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Ann Hergenroeder's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERGENROEDER FINANCIAL ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BIRCHTREE FINANCIAL SERVICES LLC

CHOREO, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

HERGENROEDER FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/10/2001

Series 65

Date: 11/5/1993

SIE

Date: 10/1/2018

Series 7

Date: 10/8/1993

FINRA

Current Firm

HERGENROEDER FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERGENROEDER FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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