DH
David A. Herman
SCARBOROUGH CAPITAL MANAGEMENT
Annapolis, MD 21401
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CRD#: 2689981
DH
Professional summary
David Alan Herman is a registered financial advisor currently at SCARBOROUGH CAPITAL MANAGEMENT located in Annapolis, Maryland and INDEPENDENT FINANCIAL GROUP, LLC located in Annapolis, Maryland.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 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.
(1) SCARBOROUGH CAPITAL MANAGEMENT POSITION: Agent/Representative NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 05/01/2004 Address: DESCRIPTION: INVESTMENT ADVISOR REPRESENTATIVE AT SCARBOROUGH CAPITAL MANAGEMENT, AN SEC REGISTERED INVESTMENT ADVISER
CRS (Client Relationship Summary) - RIA
Click below to view David Alan Herman'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®
NoneExperience
Current
January 15, 2014 - Present
SCARBOROUGH CAPITAL MANAGEMENT
Office #1: 1906 Towne Centre Blvd Suite 260, Annapolis, MD 21401RIA
CRD#: 169517
Annapolis, MD
Current
January 2, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1906 Towne Centre Blvd Suite 260, Annapolis, MD 21401RIA
BD
CRD#: 7717
Annapolis, MD
Past
December 19, 2008 - December 31, 2017
SII INVESTMENTS, INC.
BD
CRD#: 2225
ANNAPOLIS, MD
Past
May 20, 2003 - January 29, 2014
SCARBOROUGH CAPITAL MANAGEMENT, INC.
RIA
CRD#: 107402
ANNAPOLIS, MD
Past
May 20, 2003 - December 23, 2008
OSAIC WEALTH, INC.
BD
CRD#: 23131
ANNAPOLIS, MD
Past
February 28, 2002 - April 29, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BALTIMORE, MD
Past
February 8, 2002 - April 29, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 1, 1996 - February 13, 2002
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
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".
SC
SCARBOROUGH CAPITAL MANAGEMENT
SCARBOROUGH ADVISORS, LLC | SCARBOROUGH CAPITAL MANAGEMENT
CRD#: 169517 / SEC#: 801-79006
RIA
Registered Investment Advisory firm - (11/20/2013 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/2/2018)
IAR
Alabama(1/8/2024)
RR
Arizona(1/2/2018)
IAR
Arizona(1/24/2024)
RR
California(1/2/2018)
IAR
California(1/8/2024)
RR
Colorado(1/2/2018)
IAR
Colorado(1/8/2024)
RR
Connecticut(1/2/2018)
IAR
Connecticut(1/8/2024)
RR
Delaware(1/2/2018)
IAR
Delaware(1/8/2024)
RR
District of Columbia(1/2/2018)
RR
Florida(1/2/2018)
IAR
Florida(2/22/2024)
RR
Georgia(1/2/2018)
IAR
Georgia(1/9/2024)
RR
Illinois(1/2/2018)
IAR
Illinois(1/11/2024)
RR
Indiana(1/2/2018)
IAR
Indiana(1/8/2024)
IAR
Kansas(1/8/2024)
RR
Kentucky(1/2/2018)
IAR
Kentucky(1/8/2024)
RR
Louisiana(1/2/2018)
IAR
Louisiana(1/9/2024)
RR
Maine(1/14/2020)
IAR
Maryland(1/15/2014)
RR
Maryland(1/2/2018)
RR
Massachusetts(1/2/2018)
IAR
Massachusetts(3/13/2024)
RR
Michigan(1/2/2018)
IAR
Michigan(1/10/2024)
RR
Minnesota(1/2/2018)
IAR
Minnesota(1/9/2024)
RR
Mississippi(1/2/2018)
IAR
Mississippi(1/16/2024)
RR
Missouri(1/2/2018)
IAR
Missouri(2/26/2024)
RR
Nebraska(1/2/2018)
RR
Nevada(1/2/2018)
IAR
Nevada(1/11/2024)
RR
New Hampshire(1/2/2018)
RR
New Jersey(1/2/2018)
IAR
New Jersey(1/8/2024)
RR
New York(1/2/2018)
IAR
New York(1/7/2024)
RR
North Carolina(1/2/2018)
IAR
North Carolina(1/10/2024)
RR
Ohio(1/2/2018)
IAR
Ohio(1/8/2024)
RR
Oklahoma(1/2/2018)
IAR
Oklahoma(1/8/2024)
RR
Pennsylvania(1/2/2018)
IAR
Pennsylvania(1/8/2024)
RR
South Carolina(1/2/2018)
IAR
South Carolina(1/10/2024)
RR
Tennessee(1/2/2018)
IAR
Texas(1/15/2014)
RR
Texas(1/2/2018)
RR
Virginia(1/2/2018)
IAR
Virginia(1/9/2024)
RR
Washington(1/2/2018)
IAR
Washington(1/8/2024)
RR
Wisconsin(1/2/2018)
IAR
Wisconsin(1/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SCARBOROUGH CAPITAL MANAGEMENT
SCARBOROUGH ADVISORS, LLC | SCARBOROUGH CAPITAL MANAGEMENT
CRD#: 169517 / SEC#: 801-79006
RIA
Registered Investment Advisory firm - (11/20/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1906 Towne Centre Blvd Suite 260, Annapolis, MD 21401
Mailing Address
Phone number
(410) 573-5700
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,056 |
| AUM (Assets Under Management) | $ 1,399,926,152 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SCARBOROUGH CAPITAL MANAGEMENT
CRD#: 169517Annapolis, MD 21401TRUST BUT VERIFY
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Contact information
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