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HM

Herbert George May Iii

CRD# 1243958·Registered 1984 - 2016
Previously Registered: Being a previously registered professional could mean that Herbert 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.

Professional Summary

Herbert George May III, who also goes by Herbert George May, was a registered financial advisor. Herbert was a previously registered financial professional and started their career in finance 1984 - 2016. Herbert had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Herbert George May

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

42 years registered in the securities industry

Current & Past Employments

Past

JACKSON NATIONAL LIFE DISTRIBUTORS LLCPast·CRD# 40178
BD
Denver, CO
January 3, 2002 - February 12, 2020
CURIAN CAPITAL, LLCPast·CRD# 120270
RIA
Denver, CO
February 13, 2013 - March 29, 2016
NATIONAL PLANNING CORPORATIONPast·CRD# 29604
BD
Auburndale, MA
February 25, 2005 - January 7, 2008
NATIONAL PLANNING CORPORATIONPast·CRD# 29604
BD
Los Angeles, CA
August 1, 1994 - December 31, 2004
FIDELITY BROKERAGE SERVICES LLCPast·CRD# 7784
BD
Smithfield, RI
May 4, 1989 - July 15, 1994
MONARCH FINANCIAL SERVICES, INC.Past·CRD# 8520
BD
May 28, 1987 - April 9, 1990
JOHN HANCOCK DISTRIBUTORS LLCPast·CRD# 5249
BD
March 28, 1984 - June 11, 1987

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Current Firm

CC
CURIAN CAPITAL, LLC

CURIAN CAPITAL, LLC | JNL ADVISORS, LLC

CRD#: 120270 / SEC#: 801-61122

Contact Information

Main Address

7601 Technology Way, Denver, CO 80237

Documents

Latest Form ADV

Part 2 Brochures

CURIAN CAPITAL WRAP FEE BROCHURE (3/30/2016)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Feb 2013About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1984About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1990About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Mar 1984About the Series 6 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Aug 1994About the Series 26 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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