Cory V. Herring
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.
Cory Vincent Herring was a registered financial professional .
Cory is a previously registered financial professional and started their career in finance in 2000. Cory had worked at 12 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2011 - April 30, 2012
RETIREMENT PLANNERS OF AMERICA
July 1, 2010 - June 20, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 1, 2010 - December 31, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 5, 2010 - July 2, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 22, 2006 - June 17, 2009
TD AMERITRADE, INC.
September 13, 2004 - June 17, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 13, 2004 - April 22, 2006
TD AMERITRADE CLEARING, INC.
January 5, 2004 - April 19, 2004
GRAND FINANCIAL, INC.
May 27, 2003 - October 14, 2003
GEO SECURITIES, INC.
December 9, 2002 - May 28, 2003
CETERA WEALTH SERVICES, LLC
October 31, 2000 - October 28, 2002
FIDELITY BROKERAGE SERVICES LLC
March 13, 2000 - September 18, 2000
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
RETIREMENT PLANNERS OF AMERICA
CRD#: 157222 / SEC#: 801-72262
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
RETIREMENT PLANNERS OF AMERICA
CRD#: 157222 / SEC#: 801-72262
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,760 |
| AUM (Assets Under Management) | $ 3,975,227,271 |
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.
