Constance J. Herrstrom

PREMIER FINANCIAL PLANNING

PRINCETON, NJ 08540

Some features on this profile are disabled

CRD#: 1968465

Professional summary

Constance Joy Herrstrom, CFP®, who also goes by Constance Joy Harmon, is a registered financial advisor currently at PREMIER FINANCIAL PLANNING, INC. located in Princeton, New Jersey.

Constance is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Constance has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Constance Joy Harmon

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 Constance Joy Herrstrom'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®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Current

March 30, 2012 - Present

PREMIER FINANCIAL PLANNING, INC.

Office #1: 475 Wall Street, Princeton, NJ 08540

RIA

CRD#: 121473

PRINCETON, NJ

Past

July 10, 2002 - June 22, 2004

PREMIER FINANCIAL PLANNING, INC.

RIA

CRD#: 121473

PRINCETON, NJ

Past

December 15, 1989 - December 31, 1992

OSAIC FS, INC.

CRD#: 3870

Past

October 25, 1989 - January 5, 1990

ZOCH & ZOCH FINANCIAL GROUP, INC.

CRD#: 17735

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

New Jersey
(3/30/2012)

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: 9/25/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/21/1989

General Securities Representative Examination

Current Firm

PREMIER FINANCIAL PLANNING, INC.

CRD#: 121473 / SEC#: 801-63288

RIA

Registered Investment Advisory firm - (5/29/2012 Terminated)

New Jersey

Registered Investment Advisory firm - (5/25/2012 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

475 Wall Street, Princeton, NJ 08540

Mailing Address

Phone number

(609) 924-2424

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	181
AUM (Assets Under Management)	$ 44,215,382

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.

Similar Advisors

Fernando Rivera

WELLS FARGO CLEARING SERVICES, LLC

IAR

East Brunswick, NJ

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Constance J. Herrstrom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Constance Joy Herrstrom's CRS (Customer Relationship Summary).

Certified licenses

Experience

PREMIER FINANCIAL PLANNING, INC.

PREMIER FINANCIAL PLANNING, INC.

OSAIC FS, INC.

ZOCH & ZOCH FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/25/1989

Series 7

Date: 10/21/1989

Current Firm

PREMIER FINANCIAL PLANNING, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PREMIER FINANCIAL PLANNING, INC.

TRUST BUT VERIFY

Similar Advisors