Thomas O. Herrick

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CRD#: 1449898

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.

Thomas Owen Herrick was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

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

August 31, 2017 - October 24, 2024

CARY STREET PARTNERS ASSET MANAGEMENT

RIA

CRD#: 289178

Richmond, VA

Past

September 10, 2008 - October 24, 2024

CARY STREET PARTNERS

RIA

CRD#: 128545

FREDERICKSBURG, VA

Past

September 10, 2008 - October 24, 2024

CARY STREET PARTNERS

CRD#: 128089

RICHMOND, VA

Past

February 21, 2006 - September 22, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WASHINGTON, DC

Past

February 21, 2006 - September 22, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WASHINGTON, DC

Past

January 8, 2001 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

FREDRICKSBURG, VA

Past

November 17, 2000 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

October 1, 1999 - November 27, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 19, 1986 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

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".

CARY STREET PARTNERS ASSET MANAGEMENT

CARY STREET PARTNERS | LUXON ASSET MANAGEMENT, LLC | LUXON ASSET MANAGEMENT | CARY STREET PARTNERS ASSET MANAGEMENT LLC | CARY STREET PARTNERS ASSET MANAGEMENT

CRD#: 289178 / SEC#: 801-110994

RIA

Registered Investment Advisory firm - (7/11/2017 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

Series 63

Date: 3/10/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

Current Firm

CARY STREET PARTNERS ASSET MANAGEMENT

CARY STREET PARTNERS | LUXON ASSET MANAGEMENT, LLC | LUXON ASSET MANAGEMENT | CARY STREET PARTNERS ASSET MANAGEMENT LLC | CARY STREET PARTNERS ASSET MANAGEMENT

CRD#: 289178 / SEC#: 801-110994

RIA

Registered Investment Advisory firm - (7/11/2017 Approved)

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Contact information

Main Address

901 East Byrd Street Suite 1001, Richmond, VA 23219

Mailing Address

Phone number

(804) 340-8100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CSPAM FORM ADV PART 2A FIRM BROCHURE DATED 06/27/2025 (6/27/2025)

Regulatory assets under management

Total Number of Accounts	3,255
AUM (Assets Under Management)	$ 1,491,784,665

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Thomas O. Herrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CARY STREET PARTNERS

CARY STREET PARTNERS

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

Primary Firm SEC Registration

CARY STREET PARTNERS ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 3/10/1986

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1986

Current Firm

CARY STREET PARTNERS ASSET MANAGEMENT

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARY STREET PARTNERS ASSET MANAGEMENT

TRUST BUT VERIFY

Contact information

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