Herbert N. Messick
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.
Herbert Nelson Messick III, CFP®, who also goes by Herbert Nelson Messick, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1970. Herbert had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1988
Experience
June 29, 2023 - May 4, 2026
CETERA INVESTMENT ADVISERS LLC
May 4, 2012 - November 22, 2023
QUANTUM ECONOMETRICS, LLC
June 20, 2005 - January 11, 2014
QUANTUM ECONOMETRICS CORP
July 8, 1997 - June 29, 2023
CETERA WEALTH SERVICES, LLC
July 11, 1983 - May 4, 2026
CETERA WEALTH SERVICES, LLC
December 7, 1979 - July 25, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
July 31, 1973 - May 5, 1987
TOWER SQUARE SECURITIES, INC.
March 10, 1971 - August 9, 1973
THE VARIABLE ANNUITY LIFE INSURANCE CO
June 25, 1970 - April 3, 1971
THE VARIABLE ANNUITY MARKETING COMPNAY OF FLORIDA
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/16/1970
Registered Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
