Connie L. Hering
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.
Connie Lynn Hering, who also goes by Connie Lynn Higgison, Connie Higgison, was a registered financial professional .
Connie is a previously registered financial professional and started their career in finance in 2009. Connie had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2021 - February 1, 2021
CX INSTITUTIONAL, LLC
December 5, 2019 - October 5, 2020
LPL FINANCIAL LLC
May 21, 2019 - July 22, 2019
HARBOUR INVESTMENTS, INC.
May 21, 2019 - July 22, 2019
HARBOUR INVESTMENTS, INC.
February 28, 2017 - June 4, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 28, 2017 - June 4, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 14, 2017 - February 28, 2017
CITY SECURITIES CORPORATION
November 30, 2016 - February 28, 2017
CITY SECURITIES CORPORATION
March 11, 2011 - November 28, 2016
INVESTMENT CENTERS OF AMERICA, INC.
February 9, 2009 - December 2, 2009
NRP FINANCIAL, INC.
Primary Firm SEC Registration
CX INSTITUTIONAL, LLC
CRD#: 292627 / SEC#: 801-112742
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
CX INSTITUTIONAL, LLC
CRD#: 292627 / SEC#: 801-112742
Contact information
SEC notice filing (42 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,284 |
| AUM (Assets Under Management) | $ 4,121,239,331 |
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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