JH
Jose F. Herrera
Some features on this profile are disabled
CRD#: 6308251
JH
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.
Jose Francisco Herrera was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2014. Jose had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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) Name: Britannia Bank & Trust, Ltd
Address: Nassau, Bahamas
Investment related: YES
Nature of Business: Britannia is an International Bank. It is not a regulated broker dealer or investment advisor. Britannia provides international banking services to customers around the world including private individual clients, corporate entities and other financial services firms.
Business position: Director
Hours Per Week Dedicated: 20
Relationship to entity: NONE, Unaffiliated
Start date: January 2020
Duties: Participating/attending board meetings during the year, reviewing corporate actions and resolutions as required. Candidate's role will not conflict with his S7 Sales role.
2) Name: Britannia Financial Group Limited
Address: St Peters House 130 Wood Street, London EC2V 6DL
Investment related: Yes
Nature of Business: Britannia is a UK holding company that holds shares of certain non-US financial institutions. It is not a broker-dealer or investment advisor. It does not conduct any business other than holding the shares of several other small global financial institutions.
Business position: Directorship, Unpaid.
Hours Per Week Dedicated: 1-2.
Relationship to entity: NONE
Start date: February 2018
Duties: Participating/attending four board meetings per year, reviewing corporate actions and resolutions as required. Candidate's role will not conflict with his S7 Sales role.
3) Name: Consultiva Wealth Management Corp.
Address: American International Plaza, 250 Avenue Luis Mu�oz Rivera, Suite 430
San Juan, PR 00918
Investment related: Yes
Nature of the Business: Consultiva is a SEC Registered Investment Adviser with headquarters located in PR
Business position: Directorship and IAR Unpaid
Hours Per Week Dedicated: 1-2.
Relationship to entity: NONE
Start date: March 2017
Duties: Participating/attending four board meetings per year, reviewing corporate actions and resolutions as required. Candidate's role will not conflict with his S7 Sales role.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
December 8, 2021 - December 19, 2023
CONSULTIVA WEALTH MANAGEMENT, CORP.
RIA
CRD#: 111846
SAN JUAN, PR
Past
August 20, 2019 - December 21, 2023
HUNTLEIGH SECURITIES CORPORATION
BD
CRD#: 7456
San Juan, PR
Past
July 25, 2018 - February 12, 2019
DINOSAUR FINANCIAL GROUP, L.L.C
BD
CRD#: 104446
MIAMI, FL
Past
June 21, 2016 - September 8, 2016
VALLEY FINANCIAL MANAGEMENT, INC.
RIA
CRD#: 105387
AVENTURA, FL
Past
June 25, 2014 - September 8, 2016
VALLEY FINANCIAL MANAGEMENT, INC.
BD
CRD#: 105387
AVENTURA, FL
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".
CW
CONSULTIVA WEALTH MANAGEMENT, CORP.
CONSULTIVA INTERNACIONAL INC | WHOLLY-OWNED SUBSIDIARY, CONSULTIVA SECURITIES,INC. | SAVILE CAPITAL MANAGEMENT LLC DBA | SAVILE CAPITAL GROUP LLC DBA | CONSULTIVA WEALTH MANAGEMENT, CORP. | CONSULTIVA INTERNACIONAL, INC.
CRD#: 111846 / SEC#: 801-57175
RIA
Registered Investment Advisory firm - (2/8/2000 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
CONSULTIVA WEALTH MANAGEMENT, CORP.
CONSULTIVA INTERNACIONAL INC | WHOLLY-OWNED SUBSIDIARY, CONSULTIVA SECURITIES,INC. | SAVILE CAPITAL MANAGEMENT LLC DBA | SAVILE CAPITAL GROUP LLC DBA | CONSULTIVA WEALTH MANAGEMENT, CORP. | CONSULTIVA INTERNACIONAL, INC.
CRD#: 111846 / SEC#: 801-57175
RIA
Registered Investment Advisory firm - (2/8/2000 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
American International Plaza 250 Ave. Muñoz Rivera, Suite 1420, San Juan, PR 00918
Mailing Address
Phone number
(787) 763-5868
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 139 |
| AUM (Assets Under Management) | $ 429,665,565 |
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.
