Robert B. Herget
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.
Robert Benjamin Herget was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2004. Robert had worked at 3 firms and has passed the Series 66, Series 63 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
February 14, 2012 - January 7, 2016
INDEPENDENCE WEALTH ADVISORS INC.
September 13, 2007 - February 19, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - February 19, 2009
CITIGROUP GLOBAL MARKETS INC.
October 19, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
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
INDEPENDENCE WEALTH ADVISORS INC.
CRD#: 142195 / SEC#: 801-67291
Contact information
Regulatory assets under management
| Total Number of Accounts | 475 |
| AUM (Assets Under Management) | $ 219,835,152 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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