Richard W. Herbert
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.
Richard Wamsley Herbert was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1964. Richard had worked at 12 firms and has passed the Series 63, Series 55, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2012 - May 1, 2013
MONTECITO ADVISORS, INC.
April 25, 2007 - April 17, 2012
SLOAN SECURITIES CORP.
August 11, 2006 - April 25, 2007
LEEB BROKERAGE SERVICES, INC.
October 17, 2005 - July 25, 2006
LEEB BROKERAGE SERVICES, INC.
March 25, 1994 - September 26, 2005
CITATION FINANCIAL GROUP, L.P.
March 20, 1989 - October 13, 1993
TRIAD SECURITIES CORP
November 18, 1988 - December 16, 1988
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 1, 1988 - November 18, 1988
ROWLAND, SIMON & CO.
December 30, 1981 - February 1, 1988
R. ROWLAND & CO., INCORPORATED
July 21, 1975 - November 9, 1981
STIX & CO., INC.
January 30, 1974 - September 14, 1975
HAMILTON INVESTMENTS, INC.
September 8, 1971 - February 18, 1974
BACON, WHIPPLE & CO.
September 1, 1964 - October 1, 1971
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 55
Date: 4/3/2000
Limited Representative-Equity Trader ExamSeries 000
Date: 8/31/1964
General Securities Principal ExaminationSeries 1
Date: 8/31/1964
Registered Representative ExaminationCurrent Firm
MONTECITO ADVISORS, INC.
CRD#: 104004 / SEC#: , 8-52471
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GENADRY, ELIE MICHEL | CHAIRMAN OF THE BOARD, LTD PRINCIPAL | 721443 |
| BANERJEE, DEBASISH ("NMN") | CO-FINOP | 1555979 |
| KAPERNEKAS, ATHANASIOS G | TRADE RISK MANAGER | 4183213 |
| WOLF, ALEXANDER VICTOR | CFO, CO-FINOP | 2155490 |
| WOLF, ALEXANDER VICTOR | GSP | 2155490 |
| ZOPP, MELANIE ALANE | CHIEF COMPLIANCE OFFICER, GSP | 4671608 |
| ZOPP, MELANIE ALANE | CEO | 4671608 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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