DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

ANDREW PAUL HERBERT

Advisor at LPL FINANCIAL LLC

HARRISBURG, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8da5724e-6dcd-d44b-6b46-453183b83006

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 16, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 4, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 4, 2000
First registration: Aug 16, 2005
Dual registered: yes, broker-dealer
Other names: ANDY PAUL HERBERT|Andy Herbert
IAPD individual key: 4268157

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 1, 2021	n/a	yes	HARRISBURG, PA	Current employment
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Apr 17, 2018	Jun 2, 2021	no	WAYNE, PA\|NEWTOWN SQUARE, PA\|PROSPECT PARK, PA\|GLADWYNE, PA\|EAST BRADFORD, PA	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Aug 16, 2006	Apr 3, 2018	no	KING OF PRUSSIA, PA\|DES MOINES, IA\|KING OF PRUSSIA, PA\|Wayne, PA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Aug 16, 2005	Jul 10, 2006	no	MALVERN, PA\|WEST CHESTER, PA\|WEST CHESTER, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PNC WEALTH MANAGEMENT	LPL FINANCIAL LLC	Jun 2, 2021	Jun 1, 2021	-1	Firm change	Ibd to ibd
PRINCIPAL SECURITIES, INC.	PNC WEALTH MANAGEMENT	Apr 3, 2018	Apr 17, 2018	14	Firm change	Ibd to ibd
CUSO FINANCIAL SERVICES, L.P.	PRINCIPAL SECURITIES, INC.	Jul 10, 2006	Aug 16, 2006	37	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 1, 2021 to presentfactForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Apr 17, 2018 to Jun 2, 2021factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Aug 16, 2006 to Apr 3, 2018factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Aug 16, 2005 to Jul 10, 2006factForm ADV

Dated events

No dated event names this entity yet.