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Michael Robert Herron

CFP®
CITIZENS PRIVATE WEALTH
Redmond, WA
·CRD# 2692410·30 years experience

Professional Summary

Michael Robert Herron, CFP®, who also goes by Michael Robert Herron, Michael Herron, Mike Herron, is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in Redmond, Washington and CITIZENS SECURITIES, INC. located in Redmond, Washington. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 11 firms and has passed the Series 63, Series 7TO, SIE and Series...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael Robert Herron, Michael Herron, Mike Herron

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®
Certified Financial Planner

Years of Experience

30 years in the financial services industry

Current & Past Employments

CITIZENS PRIVATE WEALTH·CRD# 106743
RIA
Redmond, WA
May 11, 2026 - Present
CITIZENS SECURITIES, INC.·CRD# 39550
RIA
BD
Redmond, WA
May 11, 2026 - Present
CITIZENS SECURITIES, INC.·CRD# 39550
RIA
BD
99 El Camino Real Ca546, Menlo Park, CA 94025
May 11, 2026 - Present
THE LEADERS GROUP, INC.·CRD# 37157
BD
Summit, NJ
May 12, 2025 - February 6, 2026
LION STREET FINANCIAL, LLC·CRD# 165828
BD
Austin, TX
August 13, 2024 - April 23, 2025
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
Bellevue, WA
September 29, 2023 - August 1, 2024
FIRST REPUBLIC SECURITIES COMPANY, LLC·CRD# 105108
BD
Bellevue, WA
September 30, 2015 - September 29, 2023
KESTRA INVESTMENT SERVICES, LLC·CRD# 42046
BD
Seattle, WA
December 10, 2012 - September 22, 2015
MARSH SECURITIES LLC·CRD# 103846
BD
Woodland Hills, CA
October 11, 2010 - November 6, 2012
INTERLINK SECURITIES CORP.·CRD# 30505
BD
Woodland Hills, CA
August 17, 2009 - November 1, 2010
P.J. ROBB VARIABLE, LLC·CRD# 38339
BD
Woodland Hills, CA
November 12, 2007 - June 30, 2009
THE LEADERS GROUP, INC.·CRD# 37157
BD
Summit, NJ
July 20, 2004 - October 31, 2007
HIMCO DISTRIBUTION SERVICES COMPANY·CRD# 6604
BD
Hartford, CT
March 18, 1996 - July 22, 2004

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Current Firm

CP
CITIZENS PRIVATE WEALTH

CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH, LLC | CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835
RIA
Registered Investment Advisory firm - SEC (2/20/1992 Approved)

Contact Information

Main Address

520 White Plains Road 3rd Floor, Tarrytown, NY 10591

Phone Number

(914) 846-0100

# of Employees

214

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART II A APPENDIX 1 (7/8/2026)

Regulatory Assets Under Management

Total Number of Accounts

12,118

AUM (Assets Under Management)

$16,634,578,146

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
05/01/2026Cover PageReport
01/28/2025Cover PageReport
07/28/2023Cover PageReport

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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.) LITTLE MAN HOLDINGS - 6/1/24 - 25003 NE 67th Place, Redmond, WA 98053 - Member, Owner, Not Invt Rel, Pass through LLC from Blue Ocean, 1 hr/mo; 0 hrs/mo (during trading hours). 2.) BLUE OCEAN COMPANIES - 8/1/24 - 800 Bellevue Way NE, Suite 500, Bellevue, WA 98004 - Managing Partner, Operations, Not Invt Rel, Business Planning & Insurance Service. 3.) Rental property Address: Burbank, California Investment-related: No Nature of the business: rental property Role: Owner Description of Duties: duties related to the rental property Start Date: 09/01/2006 Number of hours each month:1 Number of hours during trading: None 4.) WINCHESTER PROPERTIES, LLC Address: Ephrata Washington Investment-related: No Nature of the Business: Winchester Properties, LLC holds farm/grazing land in eastern Washington. Role: Filing annual 1065 and disbursement of K-1's to other members Description of Duties: I am the contact person for tax matters. Start Date: 03/01/2006 Number of hours each month: 1 hour Number of hours during trading: None

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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".
CP
CITIZENS PRIVATE WEALTH

CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH, LLC | CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835
RIA
Registered Investment Advisory firm - SEC (2/20/1992 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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Washington
(5/11/2026)
IAR
Washington
(5/11/2026)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2004About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Nov 2023About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Mar 1996About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Michael Robert Herron's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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MH
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