George Herrera
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.
George Herrera, who also goes by George X Herrera, George Xorge Herrera, George Herrera, Xorge Herrera, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1983. George had worked at 10 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2016 - September 27, 2019
BANKERS LIFE SECURITIES, INC.
March 27, 2015 - May 26, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 17, 2010 - April 12, 2013
ALLSTATE FINANCIAL SERVICES, LLC
May 29, 2009 - May 12, 2010
OSAIC SERVICES, INC.
May 15, 2008 - April 23, 2009
COREBRIDGE CAPITAL SERVICES, INC.
January 27, 2007 - May 13, 2008
OSAIC SERVICES, INC.
December 5, 2005 - October 13, 2006
VOYA FINANCIAL PARTNERS, LLC
June 10, 2003 - September 21, 2005
SIGNATOR FINANCIAL SERVICES, INC.
February 15, 2001 - January 30, 2003
SAGE DISTRIBUTORS, INC.
July 15, 1997 - January 26, 2001
COREBRIDGE CAPITAL SERVICES, INC.
January 18, 1994 - July 15, 1997
SUNAMERICA SECURITIES, INC.
May 4, 1983 - December 23, 1993
VP DISTRIBUTORS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 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.
