Steven J. Hering
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.
Steven J Hering, who also goes by Steve J. Hering, Steve Hering, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2010 - April 28, 2023
NORTHWEST ASSET MANAGEMENT
January 1, 2008 - October 20, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - October 20, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 1, 1997 - January 1, 2008
A. G. EDWARDS & SONS, INC.
February 3, 1989 - January 3, 2008
A. G. EDWARDS & SONS, INC.
February 26, 1987 - February 8, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
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
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,844 |
| AUM (Assets Under Management) | $ 3,608,262,509 |
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.
