Frederick B. Herman

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CRD#: 1437529

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.

Frederick B Herman III, who also goes by Frederick Bender Herman III, Rick Herman III, Frederick B Herman, was a registered financial professional .

Frederick is a previously registered financial professional and started their career in finance in 1997. Frederick had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frederick Bender Herman Iii | Rick Herman Iii | Frederick B Herman

Other business activities

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.

(1)Name of Business: Chester County Council of the Boy Scouts of America Address: 1 Scouting Way, Exton, PA, 19341, United States Activity Type: Non profit Position/Title: Board Member, Finance/Investment Committee Member Investment Related: Yes Start Date: 01/01/2016 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Chester County Council of the Boy Scouts of America, Executive Board member responsible for leading the Council . Investment Committee member responsible for overseeing investment allocations and the outside investment manager.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 17, 2024 - October 6, 2025

SEI INVESTMENTS MANAGEMENT CORP

RIA

CRD#: 105146

OAKS, PA

Past

April 17, 2024 - October 6, 2025

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

January 30, 2024 - March 28, 2024

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

DEVON, PA

Past

November 17, 2023 - March 28, 2024

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

DEVON, PA

Past

July 19, 2018 - August 18, 2020

BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.

RIA

CRD#: 106156

Wyomissing, PA

Past

December 8, 2014 - August 7, 2015

NAPLES GLOBAL ADVISORS

RIA

CRD#: 158544

NAPLES, FL

Past

November 12, 2001 - July 28, 2006

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

MILWAUKEE, WI

Past

April 2, 1999 - August 31, 2001

FORUM FINANCIAL SERVICES, LLC

CRD#: 38816

PORTLAND, ME

Past

March 24, 1997 - March 15, 1998

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SEI INVESTMENTS MANAGEMENT CORP

CRD#: 105146 / SEC#: 801-24593

RIA

Registered Investment Advisory firm - (6/27/1985 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/29/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/17/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/17/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/30/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/21/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SEI INVESTMENTS MANAGEMENT CORP

CRD#: 105146 / SEC#: 801-24593

RIA

Registered Investment Advisory firm - (6/27/1985 Approved)

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Contact information

Main Address

One Freedom Valley Drive, Oaks, PA 19456

Mailing Address

Phone number

(610) 676-1000

Established

Firm type

Fiscal year end

# of Employees

447

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIMC FORM ADV PART 2A - INDEPENDENT ADVISOR SOLUTIONS BY SEI (8/15/2025)

SIMC FORM ADV PART 2A - SEI PRIVATE BANKING (3/31/2025)

SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (INDEPENDENT ADVISOR SOLUTIONS BY SEI) (3/31/2025)

SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (PRIVATE WEALTH MANAGEMENT) (3/31/2025)

SIMC FORM ADV PART 2A - SEI INSTITUTIONAL GROUP (3/31/2025)

SIMC FORM ADV PART 2A - SEI PRIVATE WEALTH MANAGEMENT (3/31/2025)

Regulatory assets under management

Total Number of Accounts	99,603
AUM (Assets Under Management)	$ 198,143,431,156

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/25/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Firm Stability Insights

Frederick B. Herman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SEI INVESTMENTS DISTRIBUTION CO.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.

NAPLES GLOBAL ADVISORS

QUASAR DISTRIBUTORS, LLC

FORUM FINANCIAL SERVICES, LLC

ALPS DISTRIBUTORS, INC.

Primary Firm SEC Registration

SEI INVESTMENTS MANAGEMENT CORP

State Registrations and Notice Filings

Exams

Series 66

Date: 1/29/2024

Series 63

Date: 5/17/1996

Series 7TO

Date: 11/17/2023

SIE

Date: 8/30/2023

Series 6

Date: 3/21/1997

Current Firm

SEI INVESTMENTS MANAGEMENT CORP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SEI INVESTMENTS MANAGEMENT CORP

TRUST BUT VERIFY

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