David P. Herrmann

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CRD#: 1140606

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.

David Paul Herrmann, CFP® was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1983. David had worked at 8 firms and has passed the Series 63, Series 7, Series 22 and Series 24 exams.

Biography

With nearly four decades of advisory experience, I enjoy helping business owners, executives and hardworking regular folks realize their retirement goal of financial independence.

Question & Answer

What are your service offerings?

Insurance Planning

Retirement Planning

Education Planning

Employee and Employer Plan Ben...

Business Succession Planning

Investment Planning

Estate Planning

Comprehensive Financial Planni...

Are you a "fiduciary"?

Aliases

None

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.

(1) JRC Properties; INVESTMENT RELATED: No; ADDRESS: 5083 Lone Tree Way, Antioch, CA 94531; NATURE: Ownership of a commercial building; POSITION: Partner; START DATE: 2015; NUMBER OF HOURS/MONTH: 0 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: None. (2) Angel Flight West; INVESTMENT RELATED: No; ADDRESS: 3162 Donald Douglas Loop South, Santa Monica, CA 90405; NATURE: Charitable Transportation of People needing to make medical/surgical appointments; POSITION: Volunteer Pilot; START DATE: Over 20 years; NUMBER OF HOURS/MONTH: 05 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 03 Hrs.; DUTIES: Pilot the airplane. (3) Kingdom Renovation, Inc; INVESTMENT RELATED: No; ADDRESS: 1891 Woolner Ave, Fairfield, CA 94533; NATURE: Construction; POSITION: Director; START DATE: 2017; NUMBER OF HOURS/MONTH:01 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: Non operationally. I own 50% with my son-in-law. He runs the business I read financials.

Blog Corner

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®

CFP^®

Certified Financial Planner

Start date: 1997

Education

California State University, Northridge

Experience

Past

September 26, 2022 - January 19, 2024

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

DANVILLE, CA

Past

January 26, 2006 - October 14, 2022

HERRMANN & COOKE WEALTH MANAGEMENT

RIA

CRD#: 110722

DANVILLE, CA

Past

July 8, 1997 - December 31, 2005

HERRMANN & COOKE WEALTH MANAGEMENT

RIA

CRD#: 110722

DANVILLE, CA

Past

October 30, 1995 - September 1, 2004

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

June 17, 1991 - November 27, 1995

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

January 8, 1990 - July 24, 1991

HERRMANN SECURITIES, INC.

CRD#: 17703

Past

November 15, 1989 - January 17, 1990

CYPRESS CAPITAL CORPORATION

CRD#: 7919

Past

June 9, 1986 - November 15, 1989

HERRMANN SECURITIES, INC.

CRD#: 17703

Past

February 26, 1986 - June 3, 1986

M.T. GLANTZ FINANCIAL CORPORATION

CRD#: 16975

Past

November 16, 1983 - February 25, 1986

T. T. SECURITIES, INC.

CRD#: 8117

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/6/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/14/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/15/1983

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/27/1986

General Securities Principal Examination

Current Firm

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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Contact information

Main Address

3945 Freedom Circle, Santa Clara, CA 95054

Mailing Address

Phone number

(800) 601-5957

Established

Firm type

Fiscal year end

# of Employees

1,616

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)

EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,552,934
AUM (Assets Under Management)	$ 292,902,969,770

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.

Contact information

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Firm Stability Insights

David P. Herrmann

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Education

California State University, Northridge

Experience

HERRMANN & COOKE WEALTH MANAGEMENT

HERRMANN & COOKE WEALTH MANAGEMENT

OSAIC WEALTH, INC.

CETERA WEALTH SERVICES, LLC

HERRMANN SECURITIES, INC.

CYPRESS CAPITAL CORPORATION

HERRMANN SECURITIES, INC.

M.T. GLANTZ FINANCIAL CORPORATION

T. T. SECURITIES, INC.

Primary Firm SEC Registration

EDELMAN FINANCIAL ENGINES

State Registrations and Notice Filings

Exams

Series 63

Date: 10/6/1989

Series 7

Date: 12/14/1985

Series 22

Date: 11/15/1983

Series 24

Date: 5/27/1986

Current Firm

EDELMAN FINANCIAL ENGINES

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EDELMAN FINANCIAL ENGINES

TRUST BUT VERIFY

Contact information

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