Thomas David Herstad
Professional Summary
Thomas David Herstad was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1993 - 2026. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
AEI INCORPORATED | AEI SECURITIES, INC.
Contact Information
Main Address
1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101-4901Mailing Address
1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101-4901Phone Number
(651) 227-7333Established
Minnesota since 02/03/1971Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (28 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
3Civil Event
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Mar 2015About the Series 79 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1994Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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