SH
Sara F. Herring
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CRD#: 1003754
SH
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sara Fitzsimmons Herring, who also goes by Sara Fitsimmons Ertzbischoff, Sara Fitzsimmons Ertzbischoff, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 1981. Sara had worked at 16 firms and has passed the Series 66, Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sara Fitsimmons Ertzbischoff | Sara Fitzsimmons Ertzbischoff
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 21, 2016 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
DENVER, CO
Past
January 21, 2016 - November 9, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
DENVER, CO
Past
January 21, 2016 - December 31, 2016
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
Denver, CO
Past
January 21, 2016 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
DENVER, CO
Past
January 21, 2016 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
DENVER, CO
Past
January 21, 2016 - April 15, 2021
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
ST. CLOUD, MN
Past
January 21, 2016 - April 15, 2021
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
ST. CLOUD, MN
Past
June 7, 2011 - September 28, 2017
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ST. CLOUD, MN
Past
December 6, 2004 - February 1, 2010
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
December 6, 2004 - April 15, 2021
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
December 6, 2004 - April 15, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ST. CLOUD, MN
Past
October 15, 2001 - April 15, 2021
CETERA ADVISORS LLC
RIA
CRD#: 10299
LAKEWOOD, CO
Past
May 17, 2001 - April 15, 2021
CETERA ADVISORS LLC
BD
CRD#: 10299
DENVER, CO
Past
December 19, 2000 - May 3, 2001
AUERBACH, POLLAK & RICHARDSON INC.
BD
CRD#: 29824
STAMFORD, CT
Past
August 15, 1985 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
BD
CRD#: 1398
DENVER, CO
Past
October 31, 1984 - July 22, 1985
STONERIDGE SECURITIES, INC.
BD
CRD#: 13855
Past
September 7, 1983 - June 7, 1984
FIRST INTERWEST SECURITIES CORPORATION
BD
CRD#: 13492
Past
August 24, 1981 - August 22, 1983
FIRST COLORADO INVESTMENTS & SECURITIES, INC.
BD
CRD#: 6929
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/14/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 4/14/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/18/1998
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
VF
VSR FINANCIAL SERVICES, INC.
ADVANCED FINANCIAL STRATEGIES | MBT FINANCIAL | MATTHEW BURKE | MATT DRESDEN INSURANCE SOLUTIONS, LLC | MASINMISKO | MARTINSBURG BANK AND TRUST | MARTIN CAPITAL MANAGEMENT, LLC | LYNN WHITCHER | LOWRY FINANCIAL SERVICES | LOWERY, WELDON & COMPANY, CPAS, PA | LONGENECKER FINANCIAL SERVICES | LONE WOLF FINANCIAL, LLC | LMC FINANCIAL SERVICES, LLC | LLOYD INVESTMENT SERVICES | LEIGHTON STATE BANK | LEAF INVESTMENT GROUP | LARSON FINANCIAL SERVICES, INC. | LACKEY FINANCIAL MANAGEMENT | KOWITZ FINANCIAL GROUP, LLC | KNIGHT INVESTMENTS GROUP, INC. | KNIGHT INVESTMENTS GROUP, INC | KFK FINANCIAL ADVISORY SERVICES | KENNEDY FINANCIAL SERVICES | KECHELY WEALTH MANAGEMENT | KAUP'S INSURANCE AND INVESTMENTS, INC. | KAUP'S FINANCIAL ADVISORS, INC. | KATHLEEN LAURIN | K.A.K. INVESTMENTS, INC. | K.A.K. BROKERAGE, INC. | JOSEPH ALFINITO | JON GRAMS | JOHN PRATT FINANCIAL LLC | JOHN DELANEY FINANCIAL | JIM BLOSSER AND ASSOCIATES | JESSE J. GRIFFIN, JR, CFP, INC. | JAMES E. HEARNS AND ASSOCIATES | J. R. HINZ & ASSOCIATES | ISG EQUITY SALES CORPORATION | ISG ADVISORS | IRONHORSE WEALTH MANAGEMENT | INVESTORS CAPITAL ADVISORY | INVESTMENT SERVICES GROUP | INVESTMENT CONCEPTS, LLC. | INTEGRITY FINANCIAL ADVISORS, INC | INTEGRATED INVESTMENT GROUP (IIG) | INSURANCE AND EMPLOYEE BENEFITS, INC. | INSURANCE & WEALTH STRATEGIES, LLC | INDEPENDENT INVESTMENT SERVICES | INDEPENDENT FINANCIAL SERVICES | HUTCHINSON INCOME TAX & FINANCIAL SERVICES | HESTER & COMPANY, PC | HERITAGE PRIVATE WEALTH MANAGEMENT, LLC | HERITAGE ADVISORS, LLC | HELGESON FINANCIAL SERVICES | HCSB FINANCIAL SERVICES | HAWAII FINANCIAL ADVISORS, INC. | HAROLD JOHNSON | HANDWERKER FINANCIAL, LLC | GREGG HORSMAN | GRAY-LEWIS ADVISORY GROUP, LLC | GLEASON FINANCIAL GROUP | GILBERT & COOK, INC. | GEMINI FINANCIAL ADVISORS, LLC | GAGNE AND ASSOCIATES | FULFER AND ASSOCIATES, INC. | FRAZIER DECAMP FINANCIAL SERVICES | FOUREST, LLC | FOREMAN FINANCIAL GROUP | FLEMING FINANCIAL SERVICES | FIRST FINANCIAL SERVICES GROUP | FIRST FINANCIAL CENTER OF DALLAS | FIRST ADVISORS | FINANCIAL SOLUTIONS, INC. | FINANCIAL PLANNING AND MANAGEMENT, INC. | FINANCIAL PLANNING & CONSULTING SERVICES, LLC | FINANCIAL PARTNERS, INC. | FINANCIAL ALTERNATIVES OF MINNEAPOLIS, INC. | FFG RETIREMENT COUNSELING | FAULKNER ASSET MANAGEMENT, LLC | FALTER WEALTH MANAGEMENT SERVICES, INC. | FALCON FINANCIAL SERVICES, INC. | ETA FINANCIAL SERVICES | ENDEAVOR INVESTMENT RESOURCES | EMPLOYEE FINANCIAL PLANNING RESOURCES | DSM FINANCIAL | DRESDEN INSURANCE | DISCIPLINED EQUITIES | DERAMUS WEALTH MANAGEMENT, LLC | DENNIS E. WILT & ASSOCIATES | DELTA INVESTMENT SERVICES, INC. | DAVID STUART FINANCIAL | DAUBERT & BUTLER ASSOCIATES, INC. | CTL FINANCIAL GROUP | CROWN WEALTH MANAGEMENT | CREST FINANCIAL GROUP | CRANFILL & ASSOCIATES WEALTH MANAGEMENT | COURTESY FINANCIAL ADVISORS | CORE INVESTMENTS GROUP | CORE + FINANCIAL STRATEGIES, LLC | COORDINATED BENEFIT PLANS | COMPENSATION DESIGNS, LLC. | COMMUNITY FIRST INVESTMENT SERVICES GROUP | COMMONWEALTH CONCIERGE | COLLIER SUSTAINABLE WEALTH MANAGEMENT | COLEMAN/QUINER, LTD | CISNEROS FINANCIAL SERVICES, LLC | CHRISTOPHER WESSELS | CHAPMAN WEALTH MANAGEMENT | CETERA ADVISOR NETWORKS LLC | CENTURY FINANCIAL SERVICES | CENTS & SENSIBILITY, INC. | CARRIE HIBNER | CARPENTER & ASSOCIATES | CARPENTER & ASSOC FINANCIAL & ADVISORY SERVICES, LLC | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH PLANNING | CARLYLE WEALTH MANAGEMENT | CAPITAL RESOURCES GROUP, INC. | CALKINS-YOUNGQUIST FINANCIAL LIFE PLANNING LLC | C.E. CAMPBELL & ASSOCIATES | C. GERACI & COMPANY WEALTH AND INVESTMENT ADVISORS | C. GERACI & COMPANY | BURR AND ASSOCIATES | BURCH & COMPANY, INC. | BUFFALO TRACE FINANCIAL GROUP | BRODINE FINANCIAL SERVICES, INC. | BORST INVESTMENT PLANNING SERVICES, INC. | BODENSTEINER INVESTMENT ADVISORS, INC. | BODENSTEINER INVESTMENT ADVISORS | BKT MANAGEMENT COMPANY | BENNETT ELY | BECKETT WEALTH MANAGEMENT GROUP, LLC | BEARING FINANCIAL ADVISORS, LLC | BAUMGARTNER FINANCIAL SERVICES, LTD. | ARMAGOST FINANCIAL GROUP, LLC | ALEXANDER INVESTMENT SERVICES, INC. | ALBA FINANCIAL GROUP | ALBA DOW BENEFIT SOLUTIONS...
CRD#: 14503 / SEC#: 801-61672, 8-30780
BD
Terminated by SEC on 01/09/2017
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Contact information
Main Address
8620 W. 110th Street, Overland Park, KS 66210
Mailing Address
Phone number
Established
Missouri since 10/07/1983
Firm type
Corporation
Fiscal year end
December
# of Employees
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VSR GROUP, LLC | PARENT CORPORATION | |
| BRETADO, SANTIAGO AVILA | CHIEF FINANCIAL OFFICER | 1945627 |
| EISENHAUER, JEFFREY NEAL | VICE PRESIDENT AND TRADE DESK DIRECTOR | 2345135 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| OLSON, GREGORY ALAN | SECRETARY | 2692482 |
| SCRUGGS, CHATTEN WALKER | SENIOR VICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER | 2739132 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STANFIELD, JAMES MICHAEL | CHIEF EXECUTIVE OFFICER | 433482 |
| STANFIELD, JON MICHAEL | PRESIDENT, BD CCO AND RIA CCO | 4955169 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
