Marion C. Herring
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.
Marion Carlyle Herring, who also goes by Marion C Herring, was a registered financial professional .
Marion is a previously registered financial professional and started their career in finance in 1984. Marion had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 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
Experience
December 31, 2001 - October 27, 2006
NORTHSTAR WEALTH MANAGEMENT, LLC
December 31, 2001 - November 5, 2007
OSAIC WEALTH, INC.
November 20, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - December 17, 2014
OSAIC WEALTH, INC.
December 4, 1984 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 12, 1984 - November 14, 1984
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NORTHSTAR WEALTH MANAGEMENT, LLC
CRD#: 117857 / SEC#:
Contact information
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.
