Russell Edwin Herman
Professional Summary
Russell Edwin Herman is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Boca Raton, Florida and KESTRA INVESTMENT SERVICES, LLC located in Boca Raton, Florida. Russell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Russell has worked at 18 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 15, Series 5, Series 1, Series 10 and...
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
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
57 years in the financial services industry
Current & Past Employments
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Current Firm
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
Contact Information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735Phone Number
(844) 553-7872# of Employees
1,359SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
192,439AUM (Assets Under Management)
$79,798,091,767Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | Cover Page | Report |
| 12/23/2024 | Cover Page | Report |
| 10/20/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
State Registrations and Notice Filings
(10/1/2024)
(10/1/2024)
(10/1/2024)
(10/3/2024)
(10/1/2024)
(10/1/2024)
(10/17/2024)
(10/1/2024)
(10/31/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed May 1984Series 15 — Foreign Currency Options Examination
Passed Nov 1982Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 1 — Registered Representative Examination
Passed Apr 1969Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2001About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Russell Edwin Herman's CRS (Customer Relationship Summary).
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