Thomas D. Herstad
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.
Thomas David Herstad was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 52, Series 79, Series 7, Series 14, Series 4, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2023 - January 13, 2026
AEI SECURITIES, INC.
December 5, 2012 - February 28, 2023
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
November 7, 2012 - February 28, 2023
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
May 29, 1997 - November 30, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 1993 - June 4, 1997
AMERIPRISE ADVISOR SERVICES, INC.
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
Series 8
Date: 12/13/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AEI SECURITIES, INC.
CRD#: 6158 / SEC#: , 8-16750
Contact information
FINRA licenses (19 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Civil Event | 1 |
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.
