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Claudia Andreina Herrera

Claudia A. Herrera

KESTRA ADVISORY SERVICES
La Mesa, CA 92123
Some features on this profile are disabled
CRD#: 5632180
Claudia Andreina Herrera

Professional summary

Claudia Andreina Herrera, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in La Mesa, California and KESTRA INVESTMENT SERVICES, LLC located in San Diego, California.

Claudia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Claudia has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Claudia Andreina Herrera'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®
CFP®

Certified Financial Planner

Start date: 2021

Experience

Current

May 21, 2019 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 7200 Melody Lane Unit 74, La Mesa, CA 92123Office #2: 9191 Towne Centre Drive Suite 575, San Diego, CA 92122
RIA
CRD#: 283330
La Mesa, CA
Current

May 20, 2019 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 9191 Towne Centre Drive Suite 370, San Diego, CA 92122
BD
CRD#: 42046
San Diego, CA
Past

May 26, 2017 - May 20, 2019

FORESTERS ADVISORY SERVICES, LLC

RIA
CRD#: 164663
San Diego, CA
Past

January 21, 2009 - May 20, 2019

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
SAN DIEGO, 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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA
Registered Investment Advisory firm - (12/31/1998 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.
RR
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

RR
Arizona
(5/20/2019)
RR
California
(5/20/2019)
IAR
California
(5/21/2019)
RR
Idaho
(10/30/2019)
RR
New York
(6/23/2022)
RR
Washington
(5/20/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/17/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/3/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/12/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/20/2009
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/16/2010
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA
Registered Investment Advisory firm - (12/31/1998 Approved)
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Contact information

Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

Regulatory assets under management

Total Number of Accounts155,482
AUM (Assets Under Management)$ 60,174,309,829

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/01/2025
Cover Page
Report
12/23/2024
Cover Page
Report
10/20/2023
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.

Company Information

KESTRA ADVISORY SERVICES, LLC

CRD#: 283330La Mesa, CA 92123

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