Hermann S. Vonbertrab

PRIVATE PORTFOLIO

SAN ANTONIO, TX

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CRD#: 1615490

Professional summary

Hermann Schott Vonbertrab, who also goes by Hermann Vonbertrab, Herman Vonbertrabschot, Heemann Vonbertrabschott, Hermann Vonbertrabschott, is a registered financial advisor currently at PRIVATE PORTFOLIO, INC. located in San Antonio, Texas.

Hermann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Hermann has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hermann Vonbertrab | Herman Vonbertrabschot | Heemann Vonbertrabschott | Hermann Vonbertrabschott

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) - RIA

Click below to view Hermann Schott Vonbertrab's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Hermann Schott Vonbertrab's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

July 28, 2009 - Present

PRIVATE PORTFOLIO, INC.

Office #2: 7816 Ivanhoe Ave. Ste #10, La Jolla, CA 92037

RIA

CRD#: 36644

SAN ANTONIO, TX

Current

July 6, 1998 - Present

PRIVATE PORTFOLIO, INC.

Office #1: 7816 Ivanhoe Ave. Ste #10, La Jolla, CA 92037

RIA

CRD#: 36644

La Jolla, CA

Past

April 12, 1996 - July 1, 1998

INVERWORLD SECURITIES, INC.

CRD#: 19845

SAN ANTONIO, TX

Past

July 25, 1994 - January 31, 1997

MONEX SECURITIES, INC.

CRD#: 30362

HOUSTON, TX

Past

April 17, 1991 - April 19, 1994

IXE SECURITIES, LLC

CRD#: 19920

NEW YORK, NY

Past

November 5, 1990 - May 8, 1991

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 10, 1988 - December 8, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

February 13, 1987 - May 20, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/6/1998)

IAR

California
(7/28/2009)

Florida
(8/18/2018)

Texas
(10/7/1998)

IAR

Texas
(10/30/2014)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/2/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/6/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/17/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/6/1992

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PRIVATE PORTFOLIO, INC.

PRIVATE BROKERAGE | PRIVATE PORTFOLIO, INC. | PRIVATE PORTFOLIO OF SAN DIEGO, INC. | PRIVATE PORTFOLIO OF SAN DIEGO

CRD#: 36644 / SEC#: 801-69346, 8-47421

RIA

Registered Investment Advisory firm - SEC (8/27/2012 Terminated)

Arizona

Registered Investment Advisory firm - SEC (11/14/2022 Terminated)

California

Registered Investment Advisory firm - SEC (4/3/2012 Approved)

Florida

Registered Investment Advisory firm - SEC (6/14/2012 Approved)

Pennsylvania

Registered Investment Advisory firm - SEC (12/9/2014 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/7/2014 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037

Mailing Address

7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037-4535

Phone number

(858) 551-2071

Established

California since 05/18/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
BARBA, DANIEL	VICE PRESIDENT, SOLE OWNER	1348124
TOVAR, EDUARDO P JR	PRESIDENT, CHIEF COMPLIANCE OFFICER	2349510
VONBERTRAB, HERMANN SCHOTT	VICE PRESIDENT

Regulatory assets under management

Total Number of Accounts	93
AUM (Assets Under Management)	$ 91,500,000

Disclosures

Regulatory Event

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

Hermann S. Vonbertrab

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hermann Schott Vonbertrab's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Hermann Schott Vonbertrab's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE PORTFOLIO, INC.

INVERWORLD SECURITIES, INC.

MONEX SECURITIES, INC.

IXE SECURITIES, LLC

LPL FINANCIAL LLC

DREXEL BURNHAM LAMBERT INCORPORATED

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/2/1987

SIE

Date: 10/1/2018

Series 3

Date: 8/6/1996

Series 7

Date: 1/17/1987

Series 24

Date: 11/6/1992

FINRA

Current Firm

PRIVATE PORTFOLIO, INC.

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

PRIVATE PORTFOLIO, INC.

TRUST BUT VERIFY

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