Craig Herbert
Professional summary
Craig Herbert, AIF®, who also goes by Howard Herbert, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Coral Springs, Florida and CETERA INVESTMENT SERVICES LLC located in Coral Springs, Florida.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Craig has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Craig Herbert's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2425 University Drive, Coral Springs, FL 33065October 10, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2425 University Drive, Coral Springs, FL 33065August 7, 2019 - October 18, 2019
SINGER WEALTH ADVISORS INC.
February 11, 2014 - July 15, 2019
CETERA INVESTMENT ADVISERS LLC
February 4, 2013 - January 29, 2014
CETERA INVESTMENT SERVICES LLC
January 23, 2013 - July 15, 2019
CETERA INVESTMENT SERVICES LLC
April 23, 2012 - January 22, 2013
LEGEND ADVISORY, LLC
April 4, 2012 - January 22, 2013
LEGEND EQUITIES CORPORATION
October 1, 2000 - April 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - April 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 9, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
December 8, 1998 - January 13, 1999
CIBC WORLD MARKETS CORP.
June 22, 1998 - October 27, 1998
NORTHEAST SECURITIES, LLC
April 22, 1996 - June 24, 1998
PRUDENTIAL EQUITY GROUP, LLC
September 1, 1993 - April 26, 1996
UBS FINANCIAL SERVICES INC.
March 4, 1992 - August 17, 1993
JOSEPHTHAL & CO., INC.
February 6, 1991 - April 23, 1991
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/22/2019)
(3/27/2023)
(3/23/2023)
(9/16/2024)
(4/14/2022)
(10/11/2019)
(11/21/2019)
(5/15/2020)
(5/3/2021)
(12/17/2020)
(10/20/2020)
(10/9/2020)
(10/14/2021)
(3/30/2023)
(11/10/2019)
(1/12/2023)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Coral Springs, FL 33065TRUST BUT VERIFY
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