Jeanine M. Herold
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.
Jeanine Marie Herold, AIF®, CFP® was a registered financial professional .
Jeanine is a previously registered financial professional and started their career in finance in 1984. Jeanine had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1997
Experience
August 5, 2004 - January 3, 2025
PHILLIPS FINANCIAL
July 1, 2004 - September 30, 2004
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 1, 2004 - May 16, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 17, 2000 - July 2, 2004
OSAIC FA, INC.
February 15, 1994 - July 2, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 15, 1994 - July 2, 2004
OSAIC FA, INC.
January 10, 1994 - February 17, 1994
PRUCO SECURITIES, LLC.
May 3, 1984 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
May 3, 1984 - February 6, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 3, 1984 - February 6, 1989
OSAIC FA, INC.
Primary Firm SEC Registration
PHILLIPS FINANCIAL
CRD#: 131344 / SEC#: 801-63343
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
PHILLIPS FINANCIAL
CRD#: 131344 / SEC#: 801-63343
Contact information
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,084 |
| AUM (Assets Under Management) | $ 2,214,893,239 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 11/27/2024 | ||
| 10/30/2023 | ||
| 01/03/2023 |
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.
