John M. Herr
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.
John Manning Herr SR, who also goes by John M Herr, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1966. John had worked at 3 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 1993 - December 31, 2003
BTS ASSET MANAGEMENT, INC.
January 10, 1973 - June 23, 1980
STETSON SECURITIES CORPORATION
August 15, 1966 - March 3, 2003
MAIN STREET MANAGEMENT COMPANY
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 1
Date: 9/30/1960
Registered Representative ExaminationF04
Date: 12/12/1974
Financial Principal ExaminationSeries 00
Date: 7/1/1968
General Securities Principal 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
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.
