Wendy S. Peperkorn

LPL ENTERPRISE

SUSSEX, WI 53089

CRD#: 2512450

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Professional summary

Wendy Sue Peperkorn, CFP®, who also goes by Wendy Sue Hinzmann, Wendy Peperkorn, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Sussex, Wisconsin.

Wendy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Wendy has worked at 11 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wendy Sue Hinzmann | Wendy Peperkorn

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 Wendy Sue Peperkorn's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Wendy Sue Peperkorn'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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: W232 N6160 Waukesha Avenue, Sussex, WI 53089

RIA

CRD#: 8733

SUSSEX, WI

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: W232 N6160 Waukesha Avenue, Sussex, WI 53089

RIA

CRD#: 8733

SUSSEX, WI

Past

May 2, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Sussex, WI

Past

February 24, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Sussex, WI

Past

January 27, 2020 - February 6, 2023

DRAKE & ASSOCIATES, LLC

RIA

CRD#: 154854

WAUKESHA, WI

Past

January 29, 2018 - January 2, 2020

WEALTHSPIRE ADVISORS

RIA

CRD#: 168095

Delafield, WI

Past

February 3, 2015 - January 17, 2018

ELLENBECKER INVESTMENT GROUP

RIA

CRD#: 173851

PEWAUKEE, WI

Past

March 21, 2014 - December 31, 2014

SII INVESTMENTS, INC.

RIA

CRD#: 2225

PEWAUKEE, WI

Past

August 5, 2013 - December 31, 2014

SII INVESTMENTS, INC.

CRD#: 2225

PEWAUKEE, WI

Past

May 18, 2011 - July 25, 2013

ARTISAN PARTNERS DISTRIBUTORS LLC

CRD#: 45446

MILWAUKEE, WI

Past

April 4, 2003 - March 5, 2007

SHEPHERD TRADING LIMITED

CRD#: 39591

ST. FRANCIS, WI

Past

January 3, 2002 - July 6, 2007

RELIANT TRADING

CRD#: 32496

ST. FRANCIS, WI

Past

February 2, 1999 - September 5, 2000

M&I FINANCIAL ADVISORS, INC

CRD#: 16517

MILWAUKEE, WI

Past

August 1, 1994 - January 1, 1999

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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

Illinois
(4/3/2025)

Iowa
(11/14/2024)

Michigan
(11/14/2024)

North Carolina
(2/20/2025)

Tennessee
(11/14/2024)

Texas
(10/29/2025)

IAR

Texas
(11/10/2025)

Wisconsin
(11/14/2024)

IAR

Wisconsin
(11/14/2024)

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: 3/27/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/18/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/6/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/26/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/17/2011

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

PREMIUM

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

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
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742
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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Wendy S. Peperkorn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wendy Sue Peperkorn's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Wendy Sue Peperkorn's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

DRAKE & ASSOCIATES, LLC

WEALTHSPIRE ADVISORS

ELLENBECKER INVESTMENT GROUP

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

ARTISAN PARTNERS DISTRIBUTORS LLC

SHEPHERD TRADING LIMITED

RELIANT TRADING

M&I FINANCIAL ADVISORS, INC

STRONG INVESTMENTS, INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/27/2023

Series 66

Date: 3/18/2014

Series 7TO

Date: 5/2/2023

SIE

Date: 3/6/2023

Series 7

Date: 11/26/2013

Series 6

Date: 5/17/2011

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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