Ricardo J. Herrero
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.
Ricardo Jose Herrero was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 1969. Ricardo had worked at 10 firms and has passed the Series 66, Series 63, Series 31, Series 15, Series 5, 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
December 21, 2007 - August 25, 2014
LPL FINANCIAL LLC
December 19, 2007 - August 25, 2014
LPL FINANCIAL LLC
September 30, 2003 - December 13, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 20, 2003 - September 25, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
January 1, 1991 - February 28, 2003
MORGAN STANLEY DW INC.
April 7, 1989 - February 28, 2003
MORGAN STANLEY DW INC.
May 26, 1987 - March 23, 1989
UBS FINANCIAL SERVICES INC.
October 30, 1984 - May 8, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 8, 1980 - December 5, 1984
LEHMAN BROTHERS INC.
January 31, 1980 - October 23, 1980
UBS FINANCIAL SERVICES INC.
December 12, 1977 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
February 16, 1977 - February 5, 1978
PRUDENTIAL-BACHE SECURITIES (PAN AMERICA) INC.
June 12, 1974 - August 23, 1976
BLYTH EASTMAN DILLON & CO. INCORPORATED
January 7, 1969 - August 1, 1974
BACHE & CO INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 15
Date: 10/6/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/5/1981
Interest Rate Options ExaminationPC
Date: 12/1/1977
AMEX Put and Call ExamSeries 1
Date: 12/31/1968
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
