Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
GREGORY STEVEN HENNING
CRD#: 3111355
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 1516 W. MAIN STREET
SUN PRAIRIE, WI 53590
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2001 (2 years)2 FIRMS2011 - Present (13 years)BUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2007 - 2011 (4 years)BVISION INVESTMENT SERVICES, INC. (CRD# 46609)2003 - 2007 (3 years)BFISERV INVESTOR SERVICES, INC. (CRD# 34637)2001 - 2003 (2 years)IAUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2009 - 2011 (2 years)IAUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2007 - 2007 (<1 year)IAVISION ASSET MANAGEMENT INC (CRD# 110412)2006 - 2007 (1 year)
Disclosure(s)
View By:
2/19/2020
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 8/8/2014
IA
Texas 10/9/2020
B
California 1/3/2024
B
Virginia 9/3/2019
B
Florida 6/30/2022
B
Wisconsin 10/11/2011
B
Minnesota 6/25/2014
IA
Wisconsin 10/11/2011
B
Texas 8/18/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
1516 W. MAIN STREET, SUN PRAIRIE, WI 53590
601 SOUTH MAIN ST., DEFOREST, WI 53532
Registered with this firm since 10/11/2011
B
LPL FINANCIAL LLC (CRD#:6413)
1516 W. MAIN STREET, SUN PRAIRIE, WI 53590
601 SOUTH MAIN ST., DEFOREST, WI 53532
Registered with this firm since 10/11/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/08/2009 - 10/11/2011 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) PLOVER, WI
B
 07/25/2007 - 10/11/2011 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) PLOVER, WI
IA
 07/25/2007 - 07/25/2007 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) PLOVER, WI
IA
 01/13/2006 - 07/24/2007 VISION ASSET MANAGEMENT INC (CRD#:110412) STEVENS POINT, WI
B
 10/15/2003 - 07/24/2007 VISION INVESTMENT SERVICES, INC. (CRD#:46609) STEVENS POINT, WI
B
 03/27/2001 - 10/16/2003 FISERV INVESTOR SERVICES, INC. (CRD#:34637) HOUSTON, TX
B
 10/21/1998 - 03/27/2001 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 10/21/1998 - 03/27/2001 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.