JH
James R. Herrick
TFO WEALTH PARTNERS | Vice President
Maumee, OH 43537
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CRD#: 4952836
JH
Professional summary
James Robert Herrick, CFP® is a registered financial advisor currently at TFO WEALTH PARTNERS located in Maumee, Ohio.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. James has worked at 3 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Philanthropic services
Financial planning
Insurance
Institutional consulting
Trust & estate planning
Retirement planning
What is your current number of clients?
Greater than 100
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.
(1) VANBRIDGE LIFE AND EXECUTIVE BENEFITS / INVESTMENT RELATED / 1440 ARROWHEAD DRIVE, MAUMEE, OH 43537 / INDEPENDENT LIFE,HEALTH INSURANCE AGENT SELLING LIFE, DISABILITY, FIXED ANNUITIES, ACCIDENT, HEALTH AND LONG-TERM CARE INSURANCE / START DATE 07/2012 / 10 HOURS WEEKLY DURING SECURITIES TRADING HOURS / (2) ALLIANT INSURANCE SERVICES / 5 GREENWICH OFFICE PARK GREENWICH, CT 06831 / INVESTMENT RELATED PROPERTY & CASUALTY INSURANCE / INDEPENDENT PROPERTY AND CASUALTY INSURANCE AGENT SINCE 08/2017 / 10 HOURS PER MONTH ALL OF WHICH ARE DURING SECURITIES TRADING HOURS /
CRS (Client Relationship Summary) - RIA
Click below to view James Robert Herrick'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®
CFP®
Start date: 2018
Experience
Current
September 1, 2011 - Present
TFO WEALTH PARTNERS
Office #1: 1440 Arrowhead Drive, Maumee, OH 43537RIA
CRD#: 124407
Maumee, OH
Past
November 3, 2016 - March 12, 2019
ONE TO ONE, LLC
RIA
CRD#: 284717
MAUMEE, OH
Past
April 20, 2006 - September 9, 2011
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
TOLEDO, OH
Past
November 21, 2005 - September 9, 2011
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
TOLEDO, OH
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".
TW
TFO WEALTH PARTNERS
HUSCH FAMILY OFFICE, LLC | WVC WEALTH ADVISORS | TFO-TDC, LLC | TFO WEALTH PARTNERS, LLC | TFO WEALTH PARTNERS | TFO PHOENIX, LLC | TFO PHOENIX | TFO | TDC VIRGINIA | TDC ST. LOUIS, LLC | TDC ST. LOUIS | TDC INVESTMENT ADVISORY | TDC DENVER | TDC CALIFORNIA | SYNERGY WEALTH PARTNERS | SYNERGY INVESTMENT MANAGEMENT | RFG INVESTMENT ADVISORY
CRD#: 124407 / SEC#: 801-62074
RIA
Registered Investment Advisory firm - (5/28/2003 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.Highlighted states indicate IAR registrations
IAR
Ohio(9/1/2011)
IAR
Texas(8/15/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TW
TFO WEALTH PARTNERS
HUSCH FAMILY OFFICE, LLC | WVC WEALTH ADVISORS | TFO-TDC, LLC | TFO WEALTH PARTNERS, LLC | TFO WEALTH PARTNERS | TFO PHOENIX, LLC | TFO PHOENIX | TFO | TDC VIRGINIA | TDC ST. LOUIS, LLC | TDC ST. LOUIS | TDC INVESTMENT ADVISORY | TDC DENVER | TDC CALIFORNIA | SYNERGY WEALTH PARTNERS | SYNERGY INVESTMENT MANAGEMENT | RFG INVESTMENT ADVISORY
CRD#: 124407 / SEC#: 801-62074
RIA
Registered Investment Advisory firm - (5/28/2003 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1440 Arrowhead Drive, Maumee, OH 43537
Mailing Address
Phone number
(419) 891-9999
Established
Firm type
Fiscal year end
# of Employees
67
SEC notice filing (28 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,141 |
| AUM (Assets Under Management) | $ 4,852,786,561 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 09/21/2023 | ||
| 02/27/2023 |
Red Flags
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Company Information
TFO WEALTH PARTNERS
Vice PresidentCRD#: 124407Maumee, OH 43537TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
