Michael Y. Heridia

RUBICON INVESTMENT MANAGEMENT & ANALYTICS

Wimberley, TX

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CRD#: 1870395

Professional summary

Michael Yves Heridia, who also goes by Michael Y Heridia, is a registered financial advisor currently at RUBICON INVESTMENT MANAGEMENT & ANALYTICS located in Wimberley, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Michael has worked at 15 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Y Heridia

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 Michael Yves Heridia'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

January 1, 2007 - Present

RUBICON INVESTMENT MANAGEMENT & ANALYTICS

RIA

CRD#: 141219

Wimberley, TX

Past

April 6, 2006 - November 30, 2007

SYNERGY INVESTMENT GROUP, LLC

RIA

CRD#: 46035

SAN ANTONIO, TX

Past

April 6, 2006 - November 30, 2007

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

SAN ANTONIO, TX

Past

December 18, 1997 - April 6, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

SAN ANTONIO, TX

Past

December 18, 1997 - April 6, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SAN ANTONIO, TX

Past

August 4, 1997 - December 23, 1997

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

Past

November 8, 1996 - July 30, 1997

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

May 3, 1995 - December 31, 1995

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

September 24, 1993 - May 10, 1995

NATIONSSECURITIES

CRD#: 32542

Past

August 20, 1992 - November 13, 1992

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

August 5, 1991 - August 13, 1992

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

January 1, 1991 - August 7, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 24, 1990 - January 1, 1991

ROTAN MOSLE INC.

CRD#: 727

Past

January 31, 1989 - February 27, 1990

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 31, 1989 - February 27, 1990

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

October 6, 1988 - January 12, 1989

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

October 6, 1988 - January 12, 1989

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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

Texas
(1/1/2007)

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

IAR

Series 65

Date: 12/31/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/21/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/21/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/28/1995

General Securities Principal Examination

Current Firm

RUBICON INVESTMENT MANAGEMENT & ANALYTICS

RUBICON INVESTMENT MANAGEMENT & ANALYTICS | RUBICON WEALTH AVISORS, LLC | RUBICON WEALTH ADVISORS, LLC | RUBICON INVESTMENT MANAGEMENT & ANALYTICS, LLC

CRD#: 141219 / SEC#:

Minnesota

Registered Investment Advisory firm - (8/17/2015 Terminated)

Texas

Registered Investment Advisory firm - (1/1/2007 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

Wimberley, TX

Mailing Address

1617 Fannin St. #2019, Houston, TX 77002

Phone number

(210) 782-4266

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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

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Michael Y. Heridia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Yves Heridia's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYNERGY INVESTMENT GROUP, LLC

SYNERGY INVESTMENT GROUP, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BA INVESTMENT SERVICES, INC.

SUNAMERICA SECURITIES, INC.

NATIONSSECURITIES

INVEST FINANCIAL CORPORATION

PRINCIPAL FINANCIAL SECURITIES,INC.

UBS FINANCIAL SERVICES INC.

ROTAN MOSLE INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/31/1999

Series 63

Date: 9/21/1988

Series 7

Date: 4/21/1990

Series 6

Date: 9/21/1988

Series 24

Date: 7/28/1995

Current Firm

RUBICON INVESTMENT MANAGEMENT & ANALYTICS

Contact information

Documents

Red Flags

Company Information

RUBICON INVESTMENT MANAGEMENT & ANALYTICS

TRUST BUT VERIFY

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