Michael G. Herrington
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.
Michael Glenn Herrington was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2016 - April 20, 2017
USAA FINANCIAL ADVISORS, INC.
January 5, 2010 - April 12, 2010
SNIDER ADVISORS
July 19, 2007 - January 7, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 8, 1997 - July 14, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 1992 - June 27, 1996
INVESCO DISTRIBUTORS, INC.
July 10, 1991 - May 19, 1992
CUNA BROKERAGE SERVICES, INC.
January 11, 1991 - June 20, 1991
AVANTAX INVESTMENT SERVICES, INC.
June 20, 1989 - August 29, 1990
FIDELITY BROKERAGE SERVICES LLC
January 16, 1987 - August 29, 1990
FIDELITY BROKERAGE SERVICES LLC
November 18, 1983 - January 12, 1987
FIDELITY DISTRIBUTORS 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
Series 8
Date: 6/30/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
Contact information
Documents
Red Flags
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