Bruce A. Herrick

HERRICK PORTFOLIO MANAGEMENT CO.

Mayfield Village, OH

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CRD#: 244075

Professional summary

Bruce Alan Herrick is a registered financial advisor currently at HERRICK PORTFOLIO MANAGEMENT CO. located in Mayfield Village, Ohio.

Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. Bruce has worked at 7 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 1, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Alan Herrick's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 22, 2008 - Present

HERRICK PORTFOLIO MANAGEMENT CO.

RIA

CRD#: 145095

Mayfield Village, OH

Past

October 9, 2000 - January 24, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PEPPER PIKE, OH

Past

October 9, 2000 - January 24, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PEPPER PIKE, OH

Past

June 16, 1998 - November 3, 2000

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

May 11, 1998 - September 25, 1999

RONEY & CO.

CRD#: 45091

DETROIT, MI

Past

December 16, 1988 - May 11, 1998

RONEY & CO. L.L.C.

CRD#: 900

DETROIT, MI

Past

January 31, 1980 - December 22, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

October 5, 1973 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(1/22/2008)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/20/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 4/5/1985

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 12/12/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 9/2/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 9/29/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 8

Date: 11/21/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 2/28/1991

General Securities Principal Examination

Current Firm

HERRICK PORTFOLIO MANAGEMENT CO.

HERRICK PORTFOLIO MANAGEMENT CO. | HPM ADVISORS, INC.

CRD#: 145095 / SEC#: 801-68339

RIA

Registered Investment Advisory firm - (8/6/2012 Terminated)

Ohio

Registered Investment Advisory firm - (5/24/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Mayfield Village, OH

Mailing Address

Phone number

(440) 666-7760

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 472,480

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Bruce A. Herrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Alan Herrick's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RAYMOND JAMES & ASSOCIATES, INC.

RONEY & CO.

RONEY & CO. L.L.C.

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1993

Series 63

Date: 12/7/1985

Series 15

Date: 4/5/1985

Series 5

Date: 12/12/1981

PC

Date: 9/2/1977

Series 1

Date: 9/29/1973

Series 8

Date: 11/21/1995

Series 24

Date: 2/28/1991

Current Firm

HERRICK PORTFOLIO MANAGEMENT CO.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HERRICK PORTFOLIO MANAGEMENT CO.

TRUST BUT VERIFY

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