Dean E. Herod
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.
Dean Edward Herod was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1971. Dean had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE 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
July 10, 2013 - October 21, 2024
BTS ASSET MANAGEMENT, INC.
June 14, 2013 - December 31, 2023
FORTUNE FINANCIAL SERVICES, INC.
April 19, 2010 - March 27, 2013
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
March 17, 2010 - March 27, 2013
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
March 21, 2002 - December 31, 2006
BTS ASSET MANAGEMENT, INC.
May 31, 1990 - December 31, 2009
CADARET, GRANT & CO., INC.
May 31, 1989 - June 19, 1990
FIRST AFFILIATED SECURITIES
January 21, 1983 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
January 24, 1979 - January 22, 1983
MORGAN STANLEY DW INC.
May 10, 1978 - February 8, 1979
HINKLE & LAMEAR, INC.
August 29, 1977 - June 4, 1978
THE INCOME BUILDERS, INC.
March 12, 1974 - March 9, 1977
INTERPACIFIC INVESTORS SERVICES, INC.
September 1, 1971 - March 4, 1974
WADDELL & REED
Primary Firm SEC Registration
BTS ASSET MANAGEMENT, INC.
CRD#: 105215 / SEC#: 801-14895
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/27/1971
Registered Representative ExaminationCurrent Firm
BTS ASSET MANAGEMENT, INC.
CRD#: 105215 / SEC#: 801-14895
Contact information
SEC notice filing (50 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 590 |
| AUM (Assets Under Management) | $ 188,801,492 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
