Manuel Herrera
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.
Manuel Herrera JR, who also goes by Manny Herrera Jr, was a registered financial professional .
Manuel is a previously registered financial professional and started their career in finance in 1985. Manuel had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2003 - June 15, 2017
BLACK OAK SECURITIES, INC.
March 3, 2000 - August 26, 2003
USALLIANZ SECURITIES, INC.
January 4, 1999 - February 2, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 15, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
October 9, 1985 - February 28, 1997
PRUCO SECURITIES, LLC.
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
BLACK OAK SECURITIES, INC.
CRD#: 30889 / SEC#: , 8-45219
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GROSS, DWAN N | PRESIDENT & CHIEF COMPLIANCE OFFICER | 5985005 |
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.
