James W. Herrington

HERRINGTON INVESTMENT SOLUTIONS

PITTSBURGH, PA

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CRD#: 4086845

Professional summary

James William Herrington is a registered financial advisor currently at HERRINGTON INVESTMENT SOLUTIONS located in Pittsburgh, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 3 firms and has passed the Series 66 and Series 7 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.

West Virginia Investment Management Board; Investment-Related; 500 Virginia St. East, Suite 200 Charleston, WV 25301; State Pension Fund (Teachers, State Employees, and related investments); Full time employed as Private and Public Equity Investment Officer since October 1, 2008; approximately 150 hours/mo., including 100 during securities trading hours; Head of Private Equity and Public Equity. Select, monitor, and perform due diligence on outside investment managers.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Herrington'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®

None

Experience

Current

December 5, 2002 - Present

HERRINGTON INVESTMENT SOLUTIONS

RIA

CRD#: 124363

PITTSBURGH, PA

Past

March 16, 2001 - April 18, 2002

CITY NATIONAL ROCHDALE

RIA

CRD#: 117198

NEW YORK, NY

Past

February 9, 2000 - April 18, 2002

CNR SECURITIES, LLC

CRD#: 18466

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

California
(1/29/2003)

IAR

Nevada
(12/5/2002)

IAR

Ohio
(1/23/2003)

IAR

Pennsylvania
(6/8/2007)

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 66

Date: 4/28/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/8/2000

General Securities Representative Examination

Current Firm

HERRINGTON INVESTMENT SOLUTIONS

HERRINGTON INVESTMENT SOLUTIONS | HERRINGTON INVESTMENT SOLUTIONS, INC.

CRD#: 124363 / SEC#:

Arizona

Registered Investment Advisory firm - (11/20/2006 Terminated)

California

Registered Investment Advisory firm - (1/29/2003 Approved)

Florida

Registered Investment Advisory firm - (11/20/2006 Terminated)

Nevada

Registered Investment Advisory firm - (12/4/2002 Approved)

Ohio

Registered Investment Advisory firm - (1/23/2003 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/8/2007 Approved)

Texas

Registered Investment Advisory firm - (11/20/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Pittsburgh, PA

Mailing Address

4017 Washington Rd., Pmb 7000, Mcmurray, PA 15317

Phone number

(909) 945-5522

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 5,546,478

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.

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James W. Herrington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Herrington's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERRINGTON INVESTMENT SOLUTIONS

CITY NATIONAL ROCHDALE

CNR SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/28/2000

Series 7

Date: 2/8/2000

Current Firm

HERRINGTON INVESTMENT SOLUTIONS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HERRINGTON INVESTMENT SOLUTIONS

TRUST BUT VERIFY

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