KH
Kimberly L. Herrera
LPL ENTERPRISE
PHOENIX, AZ 85016
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CRD#: 2906642
KH
Kimberly Lynn HerreraLPL ENTERPRISE
Professional summary
Kimberly Lynn Herrera, who also goes by Kimberly Almodova, Almodova Herrera, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Phoenix, Arizona.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kimberly has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Kimberly Almodova | Almodova Herrera
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) 08/05/2025-Integrity Financial Planning & Investment Services PLLC-Member Managed-Business Entity For Tax/Investment Purposes Only-Inv related-At Peoria, AZ-Start date 05/08/2025-190hrs/mth-160hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Lynn Herrera's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Lynn Herrera'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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 2325 East Camelback Road Suite 100, Phoenix, AZ 85016RIA
BD
CRD#: 8733
PHOENIX, AZ
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 2325 East Camelback Road Suite 100, Phoenix, AZ 85016RIA
BD
CRD#: 8733
PHOENIX, AZ
Past
November 3, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Phoenix, AZ
Past
September 22, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Phoenix, AZ
Past
July 5, 2016 - August 23, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
Scottsdale, AZ
Past
June 16, 2016 - August 23, 2021
BBVA SECURITIES INC.
BD
CRD#: 27060
SCOTTSDALE, AZ
Past
October 14, 2014 - June 13, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PEORIA, AZ
Past
October 10, 2014 - June 13, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PEORIA, AZ
Past
October 1, 2012 - October 10, 2014
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
SUN CITY, AZ
Past
October 1, 2012 - October 10, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SUN CITY, AZ
Past
January 5, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
SUN CITY, AZ
Past
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
SUN CITY, AZ
Past
January 29, 1999 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
August 1, 1997 - November 30, 1998
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
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)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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(11/14/2024)
RR
Arizona(11/14/2024)
IAR
Arizona(11/14/2024)
RR
California(11/14/2024)
IAR
California(11/14/2024)
RR
Colorado(11/14/2024)
RR
Illinois(5/14/2025)
RR
Indiana(3/10/2025)
RR
Michigan(11/14/2024)
RR
Missouri(3/10/2025)
RR
Nebraska(3/10/2025)
RR
Nevada(11/14/2024)
RR
New Mexico(11/14/2024)
RR
Ohio(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
RR
Utah(11/14/2024)
RR
Washington(3/10/2025)
RR
Wyoming(11/14/2024)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 7/31/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
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)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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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
5,215
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| EVANGELIOU, KIRIAKOS ANDREAS | SVP, CHIEF COMPLIANCE OFFICER | 2496177 |
| 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 |
Regulatory assets under management
| Total Number of Accounts | 139,192 |
| AUM (Assets Under Management) | $ 24,939,385,373 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2026 | ||
| 06/25/2025 |
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.
