Joshua G. Herschberg
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.
Joshua Gideon Herschberg, who also goes by Joshua G Herschberg, Joshua Herschberg, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1997. Joshua had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2023 - March 5, 2026
MISSIONSQUARE RETIREMENT
April 20, 2023 - March 5, 2026
MISSIONSQUARE WEALTH MANAGEMENT
January 7, 2022 - April 7, 2022
WELLS FARGO CLEARING SERVICES, LLC
July 21, 2021 - April 7, 2022
WELLS FARGO CLEARING SERVICES, LLC
January 21, 2020 - November 10, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
January 21, 2020 - April 20, 2021
MUTUAL OF AMERICA SECURITIES LLC
October 7, 2019 - January 3, 2020
HORNOR, TOWNSEND & KENT, LLC
July 3, 2019 - January 3, 2020
HORNOR, TOWNSEND & KENT, LLC
April 19, 2016 - November 1, 2018
PNC WEALTH MANAGEMENT LLC
February 8, 2016 - November 1, 2018
PNC WEALTH MANAGEMENT LLC
October 8, 2015 - October 15, 2015
DAVID LERNER ASSOCIATES, INC.
February 9, 2015 - February 10, 2015
NEWBRIDGE SECURITIES CORPORATION
February 14, 2013 - January 20, 2015
HSBC SECURITIES (USA) INC.
February 12, 2013 - January 20, 2015
HSBC SECURITIES (USA) INC.
August 9, 2010 - August 3, 2012
MORGAN STANLEY
July 30, 2010 - August 3, 2012
MORGAN STANLEY
May 2, 2007 - August 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2007 - August 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2005 - November 28, 2006
HSBC SECURITIES (USA) INC.
June 19, 2000 - January 1, 2005
HSBC BROKERAGE (USA) INC.
October 21, 1997 - June 19, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
May 21, 1997 - October 22, 1997
MML INVESTORS SERVICES, LLC
February 21, 1997 - May 14, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 21, 1997 - May 14, 1997
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 |
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.
