SH
Samuel D. Hershberger
UNITED BROKERAGE SERVICES,
Greer, SC 29650
Some features on this profile are disabled
CRD#: 1701083
SH
Professional summary
Samuel Dyk Hershberger, who also goes by Sam Hershberger, is a registered financial advisor currently at UNITED BROKERAGE SERVICES, INC located in Greer, South Carolina.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Samuel has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sam Hershberger
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.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Dyk Hershberger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Samuel Dyk Hershberger'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®
NoneExperience
Current
January 19, 2021 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 1111 West Poinsett Street, Greer, SC 29650RIA
BD
CRD#: 39062
Greer, SC
Current
January 13, 2021 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 1111 West Poinsett Street, Greer, SC 29650RIA
BD
CRD#: 39062
Greer, SC
Past
August 12, 2019 - January 12, 2021
EDWARD JONES
RIA
CRD#: 250
Greenville, SC
Past
August 9, 2019 - January 12, 2021
EDWARD JONES
BD
CRD#: 250
Greenville, SC
Past
February 16, 2012 - January 11, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
Greenville, SC
Past
February 15, 2012 - January 11, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
Greenville, SC
Past
May 3, 2011 - February 21, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
HILTON HEAD, SC
Past
May 2, 2011 - February 21, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
HILTON HEAD, SC
Past
June 1, 2009 - January 31, 2011
MORGAN STANLEY
RIA
CRD#: 149777
SAVANNAH, GA
Past
June 1, 2009 - January 31, 2011
MORGAN STANLEY
BD
CRD#: 149777
SAVANNAH, GA
Past
March 31, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SAVANNAH, GA
Past
January 7, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SAVANNAH, GA
Past
October 1, 1999 - January 26, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 28, 1993 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
November 14, 1988 - February 2, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
March 1, 1988 - November 16, 1988
FIRST TRYON SECURITIES, INC.
BD
CRD#: 17648
Past
July 21, 1987 - March 2, 1988
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
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".
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
IAR
California(9/5/2023)
RR
Florida(3/17/2023)
RR
Georgia(5/6/2022)
RR
Illinois(8/30/2022)
RR
Indiana(9/3/2025)
RR
North Carolina(1/14/2021)
IAR
North Carolina(1/19/2021)
RR
South Carolina(1/19/2021)
IAR
South Carolina(1/19/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
514 Market Street, Parkersburg, WV 26101
Mailing Address
P. O. Box 1508, Parkersburg, WV 26102-1508
Phone number
(888) 424-6158
Established
West Virginia since 04/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
101
SEC notice filing (17 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED ASSET MANAGEMENT CORP. | OWNER | |
| ADAMS, RICHARD MATTHEW JR | CHAIRMAN OF THE BOARD/DIRECTOR | 2656091 |
| BOARD, ANGIE MARIE | FINOP | 6464533 |
| EARL, MICHEAL LEN | CHIEF COMPLIANCE OFFICER | 4266715 |
| GURTIS, JULIE RITCHIE | DIRECTOR | |
| HUMPHREY, MATTHEW LEE | CHIEF EXECUTIVE OFFICER/DIRECTOR | 5943475 |
| MOCK, DONALD FREDERICK | DIRECTOR | 5059205 |
| MUDLAFF, THOMAS JAMES | CHIEF OPERATIONS OFFICER | 2359466 |
| REYNOLDS, FRANK KEVIN | DIRECTOR | 5731814 |
| SHAVER, AMI LEE | DIRECTOR | 2771684 |
Regulatory assets under management
| Total Number of Accounts | 1,889 |
| AUM (Assets Under Management) | $ 389,130,559 |
Disclosures
| Bond | 1 |
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.
Company Information
UNITED BROKERAGE SERVICES, INC
CRD#: 39062Greer, SC 29650TRUST BUT VERIFY
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Contact information
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