James T. Herbst
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.
James Thomas Herbst was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2009 - December 31, 2013
MANNING & NAPIER ADVISORY ADVANTAGE COMPANY, LLC
October 25, 2000 - July 2, 2024
MANNING & NAPIER ADVISORS, LLC
September 7, 2000 - July 2, 2024
MANNING & NAPIER INVESTOR SERVICES, INC.
March 15, 1991 - August 4, 1994
IAI SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
MANNING & NAPIER ADVISORY ADVANTAGE COMPANY, LLC
CRD#: 106652 / SEC#: 801-37236
Contact information
Red Flags
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