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HH

Howard Joseph Hebert

CRD# 241258·Registered 1964 - 2025
Previously Registered: Being a previously registered professional could mean that Howard 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.

Professional Summary

Howard Joseph Hebert was a registered financial advisor. Howard was a previously registered financial professional and started their career in finance 1964 - 2025. Howard had worked at 6 firms and has passed the Series 65, PC and Series 1 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

69 years in the financial services industry

Current & Past Employments

HEBERT ADVISORY SERVICES INC·CRD# 106120
RIA
Golden, CO
September 17, 1996 - February 21, 2025
SCHIELD SECURITIES LLC·CRD# 36769
BD
Littleton, CO
March 14, 1995 - September 9, 2003
SCHIELD SECURITIES, INC.·CRD# 16439
BD
November 2, 1990 - August 23, 1993
D.E. FREY & COMPANY, INC.·CRD# 23595
BD
Denver, CO
January 18, 1990 - July 5, 1990
NEWHARD, COOK & CO. INCORPORATED·CRD# 619
BD
St. Louis, MO
April 13, 1973 - January 23, 1990
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED·CRD# 412
BD
August 6, 1964 - June 1, 1973

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Current Firm

HA
HEBERT ADVISORY SERVICES INC

HEBERT ADVISORY SERVICES INC | HEBERT INVESTMENTS

CRD#: 106120 / SEC#: 801-40896
RIA
Registered Investment Advisory firm - SEC (6/25/2012 Terminated)
Colorado
Registered Investment Advisory firm - Colorado (6/14/2012 Approved)
Florida
Registered Investment Advisory firm - Florida (5/13/2021 Approved)
Missouri
Registered Investment Advisory firm - Missouri (5/9/2016 Terminated)
Washington
Registered Investment Advisory firm - Washington (3/17/2021 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

2679 W Main Street Ste 300-707, Littleton, CO 80120

Phone Number

(303) 986-9110

# of Employees

5

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

143

AUM (Assets Under Management)

$72,439,300

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Other business activities

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.

REGISTERED REPRESENTATIVE SCHIELD SECURITIES INC CRD #16439 7/90 TO 9/03. NAME OF OTHER BUSINESS: HEBERT ADVISORY SERVICES INC. INVESTMENT RELATED: YES ADDRESS: 390 UNION BLVD, SUITE #610, DENVER, CO 80228. POSITION: SENIOR PORTFOLIO MANAGER. TITLE: CHAIRMAN RELATIONSHIP: EMPLOYEE AND OFFICER START DATE: 2/92 NUMBER OF HOURS WORKED WEEKLY: 26 DUTIES: MANAGE DISCRETIONARY EQUITY PORTFOLIOS.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed May 1992About the Series 65 exam

PC — AMEX Put and Call Exam

Passed Nov 1978

Series 1 — Registered Representative Examination

Passed May 1957

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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