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PAUL DUANE HUMMEL
CRD#: 1774469
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 290 E. 25TH ST, SUITE 200
LOVELAND, CO 80538
Registration History
199019952000200520102015202020252 FIRMS1988 - 1993 (4 years)2 FIRMS2017 - Present (7 years)BINVESTMENT CENTERS OF AMERICA,... (CRD# 16443)1993 - 2017 (24 years)IAINVESTMENT CENTERS OF AMERICA,... (CRD# 16443)2006 - 2017 (11 years)IAINVESTMENT CENTERS OF AMERICA,... (CRD# 16443)2005 - 2006 (<1 year)IAINVESTMENT CENTERS OF AMERICA,... (CRD# 16443)1999 - 2004 (5 years)
Disclosure(s)
View By:
3/26/2004
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 8/2/2022

B
Nebraska 11/29/2017

B
Alaska 10/29/2024

B
New Mexico 11/29/2017

B
Arizona 11/29/2017

B
New York 11/29/2017

B
Arkansas 4/2/2024

B
North Carolina 10/27/2020

B
California 11/29/2017

B
North Dakota 11/29/2017

B
Colorado 11/29/2017

B
Ohio 11/29/2017

IA
Colorado 11/29/2017

B
Oregon 11/29/2017

B
Connecticut 5/28/2024

B
Pennsylvania 1/22/2025

B
District of Columbia 8/20/2024

B
Rhode Island 11/29/2017

B
Florida 11/29/2017

B
South Carolina 9/15/2021

B
Georgia 2/1/2024

B
South Dakota 11/29/2017

B
Idaho 11/29/2017

B
Tennessee 3/10/2022

B
Illinois 11/29/2017

B
Texas 11/29/2017

B
Iowa 11/29/2017

IA
Texas 5/18/2021

B
Kansas 11/29/2017

B
Utah 5/9/2019

B
Kentucky 11/29/2017

B
Virginia 11/29/2017

B
Michigan 11/29/2017

B
Washington 11/29/2017

B
Minnesota 11/29/2017

B
Wisconsin 9/17/2021

B
Missouri 11/29/2017

B
Wyoming 11/29/2017

B
Montana 5/15/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
290 E. 25TH ST, SUITE 200, LOVELAND, CO 80538
Registered with this firm since 11/29/2017

B
LPL FINANCIAL LLC (CRD#:6413)
290 E. 25TH ST, SUITE 200, LOVELAND, CO 80538
Registered with this firm since 11/29/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/12/2006 - 11/29/2017 INVESTMENT CENTERS OF AMERICA, INC. (CRD#:16443) LOVELAND, CO
B
08/05/1993 - 11/29/2017 INVESTMENT CENTERS OF AMERICA, INC. (CRD#:16443) LOVELAND, CO
IA
09/21/2005 - 01/05/2006 INVESTMENT CENTERS OF AMERICA, INC. (CRD#:16443) LOVELAND, CO
IA
08/09/1999 - 11/10/2004 INVESTMENT CENTERS OF AMERICA, INC. (CRD#:16443) LOVELAND, CO
B
11/23/1988 - 08/10/1993 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
11/23/1988 - 08/10/1993 IDS LIFE INSURANCE COMPANY (CRD#:6321) 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.