Victoria A. Herring
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.
Victoria Ann Herring, who also goes by VIcky Dufrenne, Victoria Ann Dufrenne, Vicky Ann Herring, Vicky Sita, Victoria Ann Sita, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1992. Victoria had worked at 15 firms and has passed the Series 65, Series 63, Series 7, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2013 - November 29, 2013
OSAIC INSTITUTIONS, INC.
April 5, 2013 - November 29, 2013
OSAIC INSTITUTIONS, INC.
January 5, 2011 - September 18, 2012
SPC
January 4, 2011 - September 18, 2012
SIGMA FINANCIAL CORPORATION
March 26, 2010 - January 5, 2011
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 28, 2009 - February 11, 2010
EDWARD JONES
August 28, 2009 - February 11, 2010
EDWARD JONES
December 8, 2008 - April 20, 2009
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
May 31, 2005 - April 20, 2009
JOHN HANCOCK DISTRIBUTORS LLC
April 18, 2005 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
November 12, 2003 - March 7, 2006
ESSEX NATIONAL SECURITIES, LLC
October 25, 1999 - March 7, 2006
ESSEX NATIONAL SECURITIES, LLC
June 4, 1998 - September 8, 1999
AFS BROKERAGE, INC.
January 2, 1998 - June 4, 1998
FIRST BROKERAGE AMERICA, L.L.C.
August 27, 1997 - February 25, 1998
AEGON USA SECURITIES INC.
July 1, 1997 - August 4, 1997
MERCANTILE INVESTMENT SERVICES, INC.
September 1, 1995 - July 1, 1997
GUARANTY BROKERAGE SERVICES, INC.
April 26, 1995 - September 13, 1995
IAC SECURITIES, INC.
July 6, 1992 - March 29, 1995
COMMERCE BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
