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MARK ALAN HAENNY
CRD#: 4574656
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 5705 N GARFIELD AVE., STE B109
LOVELAND, CO 80538
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2006 - 2011 (5 years)2 FIRMS2017 - 2019 (2 years)2 FIRMS2019 - Present (5 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2011 - 2017 (6 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2002 - 2005 (2 years)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2012 - 2017 (4 years)IAFIRST ALLIED SECURITIES, INC. (CRD# 32444)2011 - 2012 (1 year)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2004 - 2005 (1 year)
Disclosure(s)
View By:
1/27/2020
Customer Dispute
Settled
1/23/2008
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Alabama 7/22/2019

B
Montana 5/15/2020

B
Arizona 7/11/2019

B
Nebraska 7/11/2019

B
California 7/11/2019

B
Nevada 7/11/2019

B
Colorado 7/11/2019

B
New Mexico 6/23/2020

IA
Colorado 7/11/2019

B
New York 12/5/2024

B
Florida 7/11/2019

B
Oklahoma 6/21/2023

B
Hawaii 3/28/2022

B
Pennsylvania 10/26/2023

B
Illinois 7/11/2019

B
South Dakota 3/10/2020

B
Indiana 7/11/2019

B
Tennessee 6/16/2023

B
Iowa 7/11/2019

B
Texas 7/11/2019

B
Kansas 7/11/2019

IA
Texas 7/11/2019

B
Minnesota 1/3/2022

B
Washington 4/23/2024

B
Missouri 8/13/2019

B
Wyoming 7/11/2019

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
5705 N GARFIELD AVE., STE B109, LOVELAND, CO 80538
Registered with this firm since 7/11/2019

B
LPL FINANCIAL LLC (CRD#:6413)
5705 N GARFIELD AVE., STE B109, LOVELAND, CO 80538
Registered with this firm since 7/11/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/09/2017 - 07/16/2019 CETERA ADVISORS LLC (CRD#:10299) LOVELAND, CO
B
01/09/2017 - 07/16/2019 CETERA ADVISORS LLC (CRD#:10299) LOVELAND, CO
IA
07/02/2012 - 02/10/2017 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) LOVELAND, CO
B
01/14/2011 - 02/10/2017 FIRST ALLIED SECURITIES, INC. (CRD#:32444) LOVELAND, CO
IA
01/14/2011 - 07/02/2012 FIRST ALLIED SECURITIES, INC. (CRD#:32444) LOVELAND, CO
IA
01/18/2006 - 01/31/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) FORT COLLINS, CO
B
01/18/2006 - 01/31/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) FORT COLLINS, CO
IA
04/21/2004 - 05/04/2005 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) BOULDER, CO
B
09/17/2002 - 05/04/2005 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
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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.