Gregory S. Hermes

BALBOA WEALTH PARTNERS

Scottsdale, AZ 85250

Some features on this profile are disabled

CRD#: 2656830

Professional summary

Gregory Scott Hermes is a registered financial advisor currently at BALBOA WEALTH PARTNERS, INC. located in Scottsdale, Arizona.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Gregory has worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 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.

HERMES WEALTH MANAGEMENT; SAME ADDRESS AS FFEC; THIS IS DBA NAME ONLY IN WHICH MR. HERMES WILL BE CONDUCTING HIS INVESTMENT BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Scott Hermes's CRS (Customer Relationship Summary).

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

February 10, 2022 - Present

BALBOA WEALTH PARTNERS, INC.

Office #1: 6263 N. Scottsdale Road Ste 265, Scottsdale, AZ 85250

RIA

CRD#: 282329

Scottsdale, AZ

Past

October 8, 2010 - February 14, 2022

FFEC WEALTH PARTNERS LLC

CRD#: 16507

SCOTTSDALE, AZ

Past

October 7, 2010 - February 14, 2022

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

SCOTTSDALE, AZ

Past

November 5, 2008 - October 15, 2010

WEDBUSH SECURITIES INC.

RIA

CRD#: 877

PHOENIX, AZ

Past

October 21, 2008 - October 15, 2010

WEDBUSH SECURITIES INC.

CRD#: 877

PHOENIX, AZ

Past

June 23, 2008 - November 14, 2008

PEACOCK, HISLOP, STALEY & GIVEN, INC.

CRD#: 21477

PHOENIX, AZ

Past

January 13, 2004 - June 25, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PHOENIX, AZ

Past

January 9, 2004 - June 25, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PHOENIX, AZ

Past

May 1, 2002 - January 13, 2004

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

December 4, 2001 - January 13, 2004

HARRISDIRECT LLC

RIA

CRD#: 42159

SCOTTSDALE, AZ

Past

December 9, 2000 - May 1, 2002

HARRIS INVESTORLINE INC.

CRD#: 6362

SEATTLE, WA

Past

April 15, 2000 - December 9, 2000

HARRIS INVESTORLINE

CRD#: 6580

CHICAGO, IL

Past

September 16, 1999 - March 7, 2002

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

December 18, 1998 - April 15, 2000

HARRIS INVESTORS DIRECT, INC.

CRD#: 17664

CHICAGO, IL

Past

December 17, 1998 - July 7, 1999

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

August 15, 1996 - December 4, 1998

WINGSPAN INVESTMENT SERVICES

CRD#: 17516

CHICAGO, IL

Past

December 1, 1995 - August 5, 1996

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BALBOA WEALTH PARTNERS, INC.

CRD#: 282329 / SEC#: 801-107029

RIA

Registered Investment Advisory firm - (12/11/2015 Approved)

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

Arizona
(2/10/2022)

IAR

California
(2/10/2022)

IAR

Texas
(8/21/2024)

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: 6/25/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/10/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/27/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/10/2024

General Securities Principal Examination

Current Firm

BALBOA WEALTH PARTNERS, INC.

CRD#: 282329 / SEC#: 801-107029

RIA

Registered Investment Advisory firm - (12/11/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6263 North Scottsdale Road Suite 265, Scottsdale, AZ 85250

Mailing Address

Phone number

(949) 445-1465

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE (7/18/2025)

FORM ADV PART 2A (7/18/2025)

Regulatory assets under management

Total Number of Accounts	2,068
AUM (Assets Under Management)	$ 804,833,455

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gregory S. Hermes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Scott Hermes's CRS (Customer Relationship Summary).

Certified licenses

Experience

FFEC WEALTH PARTNERS LLC

FFEC WEALTH PARTNERS LLC

WEDBUSH SECURITIES INC.

WEDBUSH SECURITIES INC.

PEACOCK, HISLOP, STALEY & GIVEN, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HARRISDIRECT LLC

HARRISDIRECT LLC

HARRIS INVESTORLINE INC.

HARRIS INVESTORLINE

AMERITAS INVESTMENT COMPANY, LLC

HARRIS INVESTORS DIRECT, INC.

AMERITAS INVESTMENT COMPANY, LLC

WINGSPAN INVESTMENT SERVICES

FIRSTAR INVESTMENT SERVICES,INC.

Primary Firm SEC Registration

BALBOA WEALTH PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/1999

Series 63

Date: 12/21/1995

Series 7TO

Date: 3/10/2024

SIE

Date: 10/1/2018

Series 7

Date: 11/27/1995

Series 24

Date: 3/10/2024

Current Firm

BALBOA WEALTH PARTNERS, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALBOA WEALTH PARTNERS, INC.

TRUST BUT VERIFY

Similar Advisors