Barbara A. Herman
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.
Barbara Ann Herman, who also goes by Barbara Ann Sweet, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1984. Barbara had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2011 - July 24, 2017
PACIFIC SELECT DISTRIBUTORS, LLC
May 25, 2011 - August 3, 2011
FORESTERS EQUITY SERVICES, INC.
June 27, 2007 - December 31, 2010
RIVERSOURCE DISTRIBUTORS, INC.
December 16, 2004 - December 13, 2006
ALLIANZ LIFE FINANCIAL SERVICES, LLC
August 21, 2001 - December 3, 2004
IDS LIFE INSURANCE COMPANY
August 21, 2001 - December 3, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
June 22, 1998 - August 21, 2001
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
October 23, 1996 - June 19, 1997
ANDREW GARRETT INC.
August 25, 1996 - October 10, 1996
SYMMETRIC INVESTMENTS, INC.
April 20, 1993 - August 25, 1995
MILLER JOHNSON STEICHEN KINNARD, INC.
April 8, 1992 - April 23, 1993
COLLIERS SECURITIES LLC
August 2, 1988 - March 30, 1992
JOHN G. KINNARD AND COMPANY, INCORPORATED
January 25, 1984 - August 2, 1988
IRI SECURITIES CORPORATION
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
PACIFIC SELECT DISTRIBUTORS, LLC
CRD#: 4452 / SEC#: , 8-15264
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC LIFE INSURANCE COMPANY | PARENT OF APPLICANT | |
| DARE, BARBARA ALYCE | VICE PRESIDENT | 5074108 |
| KISSEL, GEOFFREY P | CHIEF EXECUTIVE OFFICER | 7499710 |
| LA ROQUE, SUZANNE MARIE | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4222767 |
| SMITH, TREVOR TIMOTHY | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER | 4844953 |
| YAMAUCHI, STARLA CHIN | VICE PRESIDENT, CORPORATE SECRETARY | 7721024 |
Red Flags
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