Nicholas J. Herb

TACOMA INVESTMENT GROUP

Tacoma, WA 98417

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CRD#: 1679356

Professional summary

Nicholas John Herb, who also goes by Nicholas Herb, is a registered financial advisor currently at TACOMA INVESTMENT GROUP located in Tacoma, Washington.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Nicholas has worked at 3 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Herb

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 Nicholas John Herb's 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

December 26, 1995 - Present

TACOMA INVESTMENT GROUP

Office #1: Po Box 7002, Tacoma, WA 98417

RIA

CRD#: 116741

Tacoma, WA

Past

March 30, 2004 - December 31, 2014

PURCELL ADVISORY SERVICES, LLC

RIA

CRD#: 117238

TACOMA, WA

Past

June 4, 1987 - March 25, 2010

PORTFOLIO STRATEGIES INC

RIA

CRD#: 104685

TACOMA, WA

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.

Highlighted states indicate IAR registrations

IAR

Washington
(12/26/1995)

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: 5/12/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/12/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TACOMA INVESTMENT GROUP

TACOMA INVESTMENT GROUP | TACOMA INVESTMENT GROUP, INC.

CRD#: 116741 / SEC#:

Alaska

Registered Investment Advisory firm - (11/19/2012 Terminated)

Washington

Registered Investment Advisory firm - (3/10/1995 Approved)

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

Tacoma, WA

Mailing Address

P.o. Box 7002, Tacoma, WA 98417

Phone number

(253) 761-8494

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	119
AUM (Assets Under Management)	$ 41,230,800

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Nicholas J. Herb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas John Herb's CRS (Customer Relationship Summary).

Certified licenses

Experience

TACOMA INVESTMENT GROUP

PURCELL ADVISORY SERVICES, LLC

PORTFOLIO STRATEGIES INC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/12/1987

Series 6

Date: 5/12/1987

Current Firm

TACOMA INVESTMENT GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TACOMA INVESTMENT GROUP

TRUST BUT VERIFY

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