Jorge R. Herrera
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.
Jorge Rafael Herrera, who also goes by Jorge R Herrera, was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 1967. Jorge had worked at 3 firms and has passed the Series 65, Series 63, PC 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
January 23, 2012 - December 6, 2012
GENTRUST
May 9, 1983 - December 14, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1978 - December 14, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 1967 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
GENTRUST
CRD#: 158369 / SEC#: 801-72707
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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 3/3/1967
Registered Representative ExaminationCurrent Firm
GENTRUST
CRD#: 158369 / SEC#: 801-72707
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,667 |
| AUM (Assets Under Management) | $ 4,460,903,724 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 08/26/2024 | ||
| 11/27/2023 | ||
| 08/25/2022 |
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.
