Taylor Francis Herbst
CFP®Professional Summary
Taylor Francis Herbst, CFP®, who also goes by Taylor F Herbst, is a registered financial advisor currently at CETERA PLANNING PARTNERS located in Dubuque, Iowa and CETERA WEALTH SERVICES, LLC located in Dubuque, Iowa. Taylor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Taylor has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Taylor F Herbst
Similar Advisors
NYLIFE SECURITIES LLC
ONEDIGITAL
RAYMOND JAMES & ASSOCIATES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
NYLIFE SECURITIES LLC
ONEDIGITAL
RAYMOND JAMES & ASSOCIATES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
NYLIFE SECURITIES LLC
ONEDIGITAL
RAYMOND JAMES & ASSOCIATES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
NYLIFE SECURITIES LLC
ONEDIGITAL
RAYMOND JAMES & ASSOCIATES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
Credentials
Years of Experience
12 years in the financial services industry
Current & Past Employments
Similar Advisors
NYLIFE SECURITIES LLC
ONEDIGITAL
RAYMOND JAMES & ASSOCIATES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
CETERA PLANNING PARTNERS | THE RETIREMENT PLANNING GROUP, LLC | THE RETIREMENT PLANNING GROUP, INC.
Contact Information
Main Address
11460 Tomahawk Creek Pkwy Suite 400, Leawood, KS 66211Phone Number
(913) 498-8898# of Employees
78SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
14,107AUM (Assets Under Management)
$4,164,758,846Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2026 | Cover Page | Report |
| 11/24/2025 | Cover Page | Report |
| 08/08/2024 | Cover Page | Report |
| 11/27/2023 | Cover Page | Report |
Similar Advisors
NYLIFE SECURITIES LLC
ONEDIGITAL
RAYMOND JAMES & ASSOCIATES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
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.
Similar Advisors
NYLIFE SECURITIES LLC
ONEDIGITAL
RAYMOND JAMES & ASSOCIATES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CETERA PLANNING PARTNERS | THE RETIREMENT PLANNING GROUP, LLC | THE RETIREMENT PLANNING GROUP, INC.
State Registrations and Notice Filings
(9/5/2025)
(9/29/2026)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2014About the Series 6 examSRO Registrations
Similar Advisors
NYLIFE SECURITIES LLC
ONEDIGITAL
RAYMOND JAMES & ASSOCIATES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Taylor Francis Herbst's CRS (Customer Relationship Summary).
Similar Advisors
NYLIFE SECURITIES LLC
ONEDIGITAL
RAYMOND JAMES & ASSOCIATES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
