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STEVEN ROBERT HERRMANN
CRD#: 1693934
IA
Investment Adviser
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Broker
LPL FINANCIAL LLCCRD#: 6413 200 W ADAMS ST STE 2450
CHICAGO, IL 60606
Registration History
199019952000200520102015202020252 FIRMS2001 - 2004 (3 years)2 FIRMS2007 - 2015 (7 years)2 FIRMS2015 - 2017 (2 years)2 FIRMS2017 - 2020 (3 years)2 FIRMS2020 - Present (4 years)BLINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2006 - 2007 (<1 year)BIDS LIFE INSURANCE COMPANY (CRD# 6321)1999 - 2001 (1 year)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1987 - 2001 (13 years)
License(s)

State Registrations

B
Arizona 3/11/2020

B
Tennessee 4/20/2023

B
California 9/9/2021

B
Texas 2/1/2023

B
Illinois 3/16/2020

IA
Texas 10/25/2024

IA
Illinois 3/16/2020

B
Washington 10/28/2021

B
Nevada 3/11/2020

B
Wisconsin 4/23/2024

B
South Carolina 8/26/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
200 W ADAMS ST STE 2450, CHICAGO, IL 60606
Registered with this firm since 3/16/2020

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LPL FINANCIAL LLC (CRD#:6413)
200 W ADAMS ST STE 2450, CHICAGO, IL 60606
Registered with this firm since 3/11/2020

Previous Registration(s)
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IA
03/25/2017 - 03/12/2020 MML INVESTORS SERVICES, LLC (CRD#:10409) Chicago, IL
B
03/25/2017 - 03/12/2020 MML INVESTORS SERVICES, LLC (CRD#:10409) Chicago, IL
IA
01/02/2015 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) CHICAGO, IL
B
01/02/2015 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) CHICAGO, IL
IA
03/01/2007 - 01/02/2015 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) CHICAGO, IL
B
02/06/2007 - 01/02/2015 NEW ENGLAND SECURITIES (CRD#:615) CHICAGO, IL
B
05/15/2006 - 01/18/2007 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) CHESTER, NJ
B
08/07/2001 - 11/16/2004 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
08/07/2001 - 11/16/2004 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
10/21/1999 - 03/15/2001 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
07/21/1987 - 03/15/2001 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.