David E. Herman
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.
David Elliott Herman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2025 - July 7, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
April 28, 2025 - July 7, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
January 2, 2020 - April 29, 2025
A.G.P. / ALLIANCE GLOBAL PARTNERS
January 2, 2020 - April 29, 2025
A.G.P. / ALLIANCE GLOBAL PARTNERS
January 16, 2015 - January 22, 2020
AEGIS CAPITAL CORP.
January 16, 2015 - January 22, 2020
AEGIS CAPITAL CORP.
May 24, 2010 - January 21, 2015
NFSG CORPORATION
April 23, 2010 - January 21, 2015
NEWBRIDGE SECURITIES CORPORATION
February 15, 2005 - May 10, 2010
JANNEY MONTGOMERY SCOTT LLC
August 29, 2003 - May 10, 2010
JANNEY MONTGOMERY SCOTT LLC
July 1, 2003 - September 10, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - September 10, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 7, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 7, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 16, 1993 - October 18, 1999
UBS FINANCIAL SERVICES INC.
May 18, 1992 - July 16, 1993
METROPOLITAN LIFE INSURANCE COMPANY
May 18, 1992 - July 16, 1993
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
