Individual Firm
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GREGORY STEVEN HENNING
CRD#: 3111355
IA
B
LPL FINANCIAL LLCCRD#: 6413 1516 W. MAIN STREET
SUN PRAIRIE, WI 53590
SUN PRAIRIE, WI 53590
View By:
2/19/2020
Customer Dispute
Denied
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
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/11/2011
B
Registered with this firm since 10/11/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/08/2009 - 10/11/2011 | PLOVER, WI | |
B | 07/25/2007 - 10/11/2011 | PLOVER, WI | |
IA | 07/25/2007 - 07/25/2007 | PLOVER, WI | |
IA | 01/13/2006 - 07/24/2007 | STEVENS POINT, WI | |
B | 10/15/2003 - 07/24/2007 | STEVENS POINT, WI | |
B | 03/27/2001 - 10/16/2003 | HOUSTON, TX | |
B | 10/21/1998 - 03/27/2001 | MINNEAPOLIS, MN | |
B | 10/21/1998 - 03/27/2001 | MINNEAPOLIS, MN |
STEVENS POINT, WI
01/13/2006 - 07/24/2007
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.