Thomas O. Herrick
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2017 - October 24, 2024
CARY STREET PARTNERS ASSET MANAGEMENT
September 10, 2008 - October 24, 2024
CARY STREET PARTNERS
September 10, 2008 - October 24, 2024
CARY STREET PARTNERS
February 21, 2006 - September 22, 2008
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - September 22, 2008
CITIGROUP GLOBAL MARKETS INC.
January 8, 2001 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
November 17, 2000 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
October 1, 1999 - November 27, 2000
WELLS FARGO CLEARING SERVICES, LLC
February 19, 1986 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
CARY STREET PARTNERS ASSET MANAGEMENT
CRD#: 289178 / SEC#: 801-110994
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
CARY STREET PARTNERS ASSET MANAGEMENT
CRD#: 289178 / SEC#: 801-110994
Contact information
SEC notice filing (52 States and Territories)
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.
