David L. Herman
Professional summary
David Laurance Herman is a registered financial advisor currently at CYPRESS POINT FINANCIAL ADVISORS located in Sacramento, California and PURSHE KAPLAN STERLING INVESTMENTS located in Sacramento, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Laurance Herman's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2013 - Present
CYPRESS POINT FINANCIAL ADVISORS
November 13, 2013 - Present
PURSHE KAPLAN STERLING INVESTMENTS
June 10, 2004 - October 18, 2013
LPL FINANCIAL LLC
June 10, 2004 - October 18, 2013
LPL FINANCIAL LLC
July 2, 2003 - June 14, 2004
VALIC FINANCIAL ADVISORS, INC.
January 21, 1999 - June 14, 2004
VALIC FINANCIAL ADVISORS, INC.
October 5, 1994 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/12/2013)
(11/13/2013)
(11/6/2020)
(11/13/2013)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CYPRESS POINT FINANCIAL ADVISORS
CRD#: 169376 / SEC#: 801-78703
Contact information
Regulatory assets under management
| Total Number of Accounts | 79 |
| AUM (Assets Under Management) | $ 34,772,102 |
Red Flags
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