Jonathan S. Herson

CRUDEN BAY INVESTMENT MANAGEMENT

Westlake Village, CA 91361

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CRD#: 5103079

Professional summary

Jonathan Steven Herson, who also goes by Jonathan S Herson, is a registered financial advisor currently at CRUDEN BAY INVESTMENT MANAGEMENT, LLC located in Westlake Village, California.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Jonathan has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan S Herson

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) 02/23/2010: Cruden Bay Investment Management LLC - Non-Variable Insurance DBA - DBA: Cruden Bay Investment Management LLC - Investment Related - At Reported Business Location(s) - 1% Time Spent - Fixed Insurance Sales (2) 04/19/2013: Cavalier Associates - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 5% Time Spent - Life, LTC (3) Investo - Investment Related - Sao Paulo, Brazil - investment firm - Investor and Advisor; 11/2020; 1% time spent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Steven Herson'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

August 31, 2016 - Present

CRUDEN BAY INVESTMENT MANAGEMENT, LLC

Office #1: 2945 Townsgate Road Suite 200, Westlake Village, CA 91361

RIA

CRD#: 284787

Westlake Village, CA

Past

August 6, 2010 - December 23, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

WESTLAKE VILLAGE, CA

Past

August 6, 2010 - December 23, 2016

LPL FINANCIAL LLC

CRD#: 6413

WESTLAKE VILLAGE, CA

Past

June 1, 2009 - August 17, 2010

MORGAN STANLEY

RIA

CRD#: 149777

WOODLAND HILLS, CA

Past

June 1, 2009 - August 17, 2010

MORGAN STANLEY

CRD#: 149777

WOODLAND HILLS, CA

Past

May 2, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WOODLAND HILLS, CA

Past

April 13, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WOODLAND HILLS, CA

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".

CRUDEN BAY INVESTMENT MANAGEMENT, LLC

CRD#: 284787 / SEC#: 801-108314

RIA

Registered Investment Advisory firm - (8/30/2016 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

California
(8/31/2016)

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 65

Date: 4/27/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/20/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/23/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/31/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/12/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/18/2010

General Securities Principal Examination

Current Firm

CRUDEN BAY INVESTMENT MANAGEMENT, LLC

CRD#: 284787 / SEC#: 801-108314

RIA

Registered Investment Advisory firm - (8/30/2016 Approved)

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Contact information

Main Address

2945 Townsgate Road Suite 200, Westlake Village, CA 91361

Mailing Address

Phone number

(805) 267-7184

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/17/2025)

FORM ADV APPENDIX 1 WRAP BROCHURE (3/17/2025)

Regulatory assets under management

Total Number of Accounts	145
AUM (Assets Under Management)	$ 467,699,208

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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Advisor Monitoring

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Jonathan S. Herson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Steven Herson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

CRUDEN BAY INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2006

Series 63

Date: 4/20/2006

SIE

Date: 12/23/2016

Series 31

Date: 5/31/2006

Series 7

Date: 4/12/2006

Series 24

Date: 11/18/2010

Current Firm

CRUDEN BAY INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CRUDEN BAY INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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