Thomas Herber

STRATEGIC ADVISERS LLC

LAS VEGAS, NV

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CRD#: 4560906

Professional summary

Thomas Herber, who also goes by Thomas William Herber Jr., Thomas William Herber, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Las Vegas, Nevada and FIDELITY BROKERAGE SERVICES LLC located in Salt Lake City, Utah.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Thomas has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas William Herber Jr. | Thomas William Herber

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Herber's CRS (Customer Relationship Summary).

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

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

LAS VEGAS, NV

Current

February 3, 2022 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 49 North 400 West, Salt Lake City, UT 84101

CRD#: 7784

Salt Lake City, UT

Past

February 9, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SALT LAKE CITY, UT

Past

December 2, 2019 - March 2, 2021

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Las Vegas, NV

Past

November 26, 2019 - March 2, 2021

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LAS VEGAS, NV

Past

January 22, 2018 - October 22, 2018

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

West Haven, CT

Past

January 22, 2018 - October 22, 2018

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

West Haven, CT

Past

October 16, 2014 - January 29, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PETALUMA, CA

Past

October 15, 2014 - January 29, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PETALUMA, CA

Past

September 23, 2011 - October 24, 2014

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

LARKSPUR, CA

Past

September 19, 2011 - October 24, 2014

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

LARKSPUR, CA

Past

May 21, 2008 - April 16, 2010

QUESTAR CAPITAL CORPORATION

CRD#: 43100

RYE, NY

Past

February 17, 2006 - April 4, 2008

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

February 17, 2006 - April 4, 2008

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

November 9, 2004 - October 6, 2005

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

LONG ISLAND CITY, NY

Past

November 14, 2002 - October 6, 2005

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, 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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/3/2022)

Alaska
(2/3/2022)

Arizona
(2/3/2022)

Arkansas
(2/3/2022)

California
(2/3/2022)

Colorado
(2/3/2022)

Connecticut
(2/3/2022)

Delaware
(2/3/2022)

District of Columbia
(2/3/2022)

Florida
(2/3/2022)

Georgia
(2/3/2022)

Hawaii
(2/3/2022)

Idaho
(2/3/2022)

Illinois
(2/3/2022)

Indiana
(2/3/2022)

Iowa
(2/3/2022)

Kansas
(2/3/2022)

Kentucky
(2/3/2022)

Louisiana
(2/3/2022)

Maine
(2/3/2022)

Maryland
(2/3/2022)

Massachusetts
(2/3/2022)

Michigan
(2/3/2022)

Minnesota
(2/3/2022)

Mississippi
(2/3/2022)

Missouri
(2/3/2022)

Montana
(2/3/2022)

Nebraska
(2/3/2022)

Nevada
(2/3/2022)

IAR

Nevada
(3/31/2025)

New Hampshire
(2/3/2022)

New Jersey
(2/3/2022)

New Mexico
(2/3/2022)

New York
(2/3/2022)

North Carolina
(2/3/2022)

North Dakota
(2/3/2022)

Ohio
(2/3/2022)

Oklahoma
(2/3/2022)

Oregon
(2/3/2022)

Pennsylvania
(2/3/2022)

Puerto Rico
(2/3/2022)

Rhode Island
(2/3/2022)

South Carolina
(2/3/2022)

South Dakota
(2/3/2022)

Tennessee
(2/3/2022)

Texas
(2/3/2022)

IAR

Texas
(3/31/2025)

Utah
(2/3/2022)

Vermont
(2/3/2022)

Virginia
(2/3/2022)

Washington
(2/3/2022)

West Virginia
(2/3/2022)

Wisconsin
(2/3/2022)

Wyoming
(2/3/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/14/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/23/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/2002

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	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.

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Firm Stability Insights

Thomas Herber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Herber's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

QUESTAR CAPITAL CORPORATION

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/14/2004

Series 63

Date: 1/23/2003

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2002

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

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