Linda M. Hernandez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Linda Marie Hernandez, who also goes by Linda Marie Colon, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 2000. Linda had worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2017 - April 25, 2018
LPL FINANCIAL LLC
August 21, 2015 - August 9, 2016
ZEUS FINANCIAL, LLC
June 12, 2013 - August 20, 2013
TRADESPOT MARKETS INC.
February 4, 2010 - May 18, 2011
NATIONAL PLANNING CORPORATION
January 30, 2007 - June 23, 2008
MML INVESTORS SERVICES, LLC
January 8, 2007 - March 14, 2008
MML DISTRIBUTORS, LLC
December 20, 2006 - June 23, 2008
MML INVESTORS SERVICES, LLC
June 20, 2006 - January 4, 2007
HARTFORD FUNDS DISTRIBUTORS, LLC
June 20, 2006 - January 4, 2007
HARTFORD FUNDS DISTRIBUTORS, LLC
September 26, 2005 - December 8, 2006
HIMCO DISTRIBUTION SERVICES COMPANY
January 20, 2004 - June 14, 2005
VOYA FINANCIAL PARTNERS, LLC
July 10, 2000 - June 14, 2005
VOYA FINANCIAL PARTNERS, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
