Kenneth R. Herold

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CRD#: 2695760

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kenneth Robert Herold was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1996. Kenneth had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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. FINANCIAL DECISIONS, INC. SINCE 3/1998. INVESTMENT-RELATED. 5345 N. EL DORADO ST. SUITE 16, STOCKTON, CA. INVESTMENT ADVISORY SERVICES. POSITION-CHIEF COMPLIANCE OFFICER & INVESTMENT ADVISOR REP. DUTIES-INVESTMENT PORTFOLIO RESEARCH AND ANALYSIS. 130 HOURS/MONTH. 65 HOURS/MONTH DURING TRADING HOURS. 2. WESTERN ASSOCIATES, INC. DBA WESTERN ASSOCIATES INSURANCE SERVICES, 3555 DEER PARK DR., STE. 160, STOCKTON, CA 95219. START DATE-4/2000; NON-INVESTMENT-RELATED; TITLE: INSURANCE AGENT/CHIEF COMPLIANCE OFFICER; LESS THAN 4 HOURS PER MONTH SPENT ALL DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 11, 2021 - December 31, 2022

FINDEC WEALTH SERVICES, INC.

RIA

CRD#: 311949

STOCKTON, CA

Past

December 1, 2005 - September 2, 2014

FINANCIAL TELESIS INC

CRD#: 31012

STOCKTON, CA

Past

June 28, 2002 - April 23, 2021

FINANCIAL DECISIONS, INC.

RIA

CRD#: 118883

STOCKTON, CA

Past

February 22, 2000 - December 2, 2005

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

June 16, 1998 - March 13, 2000

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

April 3, 1998 - July 14, 1998

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

September 1, 1997 - March 31, 1998

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

September 1, 1997 - April 1, 1998

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

January 12, 1996 - July 30, 1997

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

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".

FINDEC WEALTH SERVICES, INC.

CRD#: 311949 / SEC#: 801-120139

RIA

Registered Investment Advisory firm - (1/11/2021 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/22/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/11/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/10/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/11/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FINDEC WEALTH SERVICES, INC.

CRD#: 311949 / SEC#: 801-120139

RIA

Registered Investment Advisory firm - (1/11/2021 Approved)

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Contact information

Main Address

1776 W. March Lane Suite 190, Stockton, CA 95207

Mailing Address

Phone number

(209) 957-7413

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FINDEC WEALTH SERVICES, INC. ADV BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,435
AUM (Assets Under Management)	$ 770,564,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/22/2025	Cover Page	Report
12/13/2023	Cover Page	Report
01/05/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Kenneth R. Herold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FINANCIAL TELESIS INC

FINANCIAL DECISIONS, INC.

NATIONAL PLANNING CORPORATION

ASSOCIATED SECURITIES CORP.

FSC SECURITIES CORPORATION

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

FINDEC WEALTH SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/22/1998

Series 63

Date: 1/11/1996

Series 7

Date: 8/10/1998

Series 6

Date: 1/11/1996

Current Firm

FINDEC WEALTH SERVICES, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FINDEC WEALTH SERVICES, INC.

TRUST BUT VERIFY

Contact information

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